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SEC CHARGES ESMARK INC. AND CHAIRMAN JAMES BOUCHARD WITH ANNOUNCING FALSE TENDER OFFER TO PURCHASE U.S. STEEL CORP.

The Securities and Exchange Commission announced settled charges against Esmark Inc. and its founder, chairman, and former CEO, James P. Bouchard, for publicly announcing a tender offer to purchase U...

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FCA
OVERSIGHT OF ARS IMPROVING BUT MORE TO DO, SAY FCA
September 09, 2024

The FCA has set out good practice and areas for improvement to help principal firms effectively monitor their Appointed Represent...

Investment Executive
FORMER RBC CFO FURTHER PUSHES BACK AGAINST FIRING IN LEGAL FILINGS
September 09, 2024

The former chief financial officer of RBC is again pushing back against claims by the bank that it was justified in firing her fo...

SEC
SEC CHARGES FORMER FINANCE DIRECTOR AT CIRCOR INTERNATONAL WITH ACCOUNTING FRAUD
September 06, 2024

The Securities and Exchange Commission announced fraud charges against Nicholas Bowerman, a former finance director of CIRCOR Int...

ASC
NEW CHALLENGE SEEKS TO TACKLE ONLINE CRYPTO INVESTMENT FRAUD WITH INNOVATION
September 05, 2024

The Alberta Securities Commission (ASC) has partnered with the Edmonton Police Foundation (EPF) and the Edmonton Police Service (...

SEC
SEC CHARGES BROKER-DEALER NATIONWIDE PLANNING AND TWO AFFILIATED INVESTMENT ADVISERS WITH VIOLATING WHISTLEBLOWER PROTECTION RULE
September 05, 2024

The Securities and Exchange Commission announced settled charges against three affiliated registrants, Commission-registered brok...

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