• RIA-COMPLIANCE
  • RIA-COMPLIANCE
  • RIA-COMPLIANCE

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SEC Charges North Carolina Executive With Fraud

The Securities and Exchange Commission today charged the owner and chief executive of a North Carolina business with defrauding a publicly-traded telecommunications company and its shareholders during and after its acquisit...

SEC: Companies Cannot Stifle Whistleblowers in Confidentiality Agreements

The Securities and Exchange Commission today announced its first enforcement action against a company for using improperly restrictive language in confidentiality agreements with the potential to stifle the whistleblowing p...

SEC Charges Former Polycom CEO With Hiding Perks From Investors

The Securities and Exchange Commission today charged the former CEO of Silicon Valley-based technology firm Polycom Inc. with using nearly $200,000 in corporate funds for personal perks that were not disclosed to investors....