Ex-Dow Chemical exec, Raymond James settle SEC insider case

Jan 14, 2014 · A former Dow Chemical Co executive agreed to pay a $367,250 fine and be banned from serving as an officer or director of a public company to settle civil charges of …

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Ex-Dow Chemical Exec, Raymond James Settle SEC Insider Case

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Jan 14, 2014 · A former Dow Chemical Co executive agreed to pay a $367,250 fine and be banned from serving as an officer or director of a public company to settle civil charges of …

reuters.com

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Ex-Dow Chemical Exec, Raymond James Settle SEC Insider Case

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A former Dow Chemical Co executive agreed to pay a $367,250 fine and be banned from serving as an officer or director of a public company to settle civil charges of insider trading over the …

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Ex-Dow Chemical Exec Snared In $1M Insider Trading Suit

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The U.S. Securities and Exchange Commission filed suit Monday against a former Dow Chemical Co. executive and two of his associates, accusing the trio of unlawfully gaining more than $1 …

law360.com

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Ex-Lawyer, Trader To Pay $32 Million To Settle SEC Insider Case

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Apr 25, 2012 · A former corporate lawyer who secretly passed tips about mergers to an ex-trader through a go-between for years and the trader have agreed to pay more than $32 million to …

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Ex-dow Chemical Exec, Raymond James Settle Sec Insider Case

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Jan 15, 2014 · More than $1 million of illegal profit was realized, the SEC said. In settlements approved on Monday by U.S. District Judge Thomas Ludington in Bay City, Michigan, …

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Dow Chemical Settles SEC Charges For Failing To Report Ex-CEO's …

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Jul 3, 2018 · A three-year U.S. Securities and Exchange Commission investigation found that Dow Chemical failed to properly disclose around $3 million in perks for former Chief Executive …

reuters.com

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Six Told To Pay $604,704 To Settle SEC Insider Case - WSJ

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Six Told to Pay $604,704 To Settle SEC Insider Case. ... a former senior account executive at the public-relations firm Ruder-Finn Inc., her brother and four others were ordered by a federal …

wsj.com

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Twenty-Six Firms To Pay More Than $390 Million Combined To …

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Aug 14, 2024 · The firms admitted the facts set forth in their respective SEC orders, acknowledged that their conduct violated recordkeeping provisions of the federal securities …

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Raymond James Preps For $50 Million Settlement With SEC In …

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Aug 12, 2024 · Raymond James Financial has reached “a settlement in principle” with the Securities and Exchange Commission to pay $50 million to resolve the federal agency’s …

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SEC.gov | Raymond James Agrees To Pay $15 Million For …

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“Raymond James’ failures cost their advisory clients and brokerage customers millions that will be repaid as part of this settlement." The order charges Raymond James & Associates, Inc. and …

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Ex-Dow Jones Director Settles SEC Insider Trading Case

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Prominent Asian banker and former Dow Jones board member David Li will pay $8.1 million to settle civil charges of insider trading ahead of a buyout bid from News Corp last year that sent …

reuters.com

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Raymond James Nears $50M SEC Settlement Over Texting Issues

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Aug 12, 2024 · The broker-dealer is one of several firms caught up in the SEC's off-channel communications sweep. Raymond James Nears $50M SEC Settlement Over Texting Issues …

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FAQs about Ex-Dow Chemical exec, Raymond James settle SEC insider case Coupon?

Did Raymond James disclose $55 million to the SEC?

In October, Raymond James disclosed that it had reserved $55 million related to the SEC’s investigation of off-channel communications compliance. Other major investment firms have made similar disclosures. Stay connected to the industry’s biggest female influencers with our Women in Wealth newsletter. ...

How much money does Raymond James have under administration?

Its Private Client Group had total assets under administration of $1.42 trillion in the second quarter. In October, Raymond James disclosed that it had reserved $55 million related to the SEC’s investigation of off-channel communications compliance. ...

Will Raymond James pay a $50 million civil penalty?

Raymond James Financial has agreed in principle to pay a $50 million civil penalty to settle the Securities and Exchange Commission’s probe related to off-channel business communications, according to a recent quarterly earnings report. ...

Why did the Securities & Exchange Commission charge 26 broker-dealers?

The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications. ...

Is Raymond James complying with SEC's records preservation requirements?

Raymond James has been cooperating with the SEC’s investigation of the firm’s compliance with records preservation requirements relating to communications sent over electronic messaging channels that the firm hadn’t approved, the firm said in an Aug. 6 filing. ...

What is the SEC's proposed settlement?

The proposed settlement stems from the SEC’s crackdown on financial firms sending messages over unauthorized channels, like mobile phone texts and messaging apps. ...