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FCPA Blog Daily News

Entries in Securities Fraud (4)


Diamond Foods ex-CFO pays $125,000 to settle SEC accounting fraud charges

The Securities and Exchange Commission said Friday a federal court in Northern California approved a settlement with Steven Neil, the former chief financial officer of Diamond Foods, Inc. 

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Former Columbia B-school adjunct prof busted for alleged $3 million fraud

A former adjunct professor at the Columbia Business School and the co-founder, chief executive, and principal owner of a software company was arrested Friday on securities and wire fraud charges for an alleged scheme to defraud about 30 investors of $3 million dollars.

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China companies grow skittish about U.S. listings

Chinese companies that listed securities on U.S. stock exchanges have been hit hard by shareholder actions.

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Six Lessons from the SEC's First Whistleblower Reward

It's not an FCPA case.

But it is the first bounty paid to a whistleblower by the SEC under the 2010 Dodd-Frank Act.

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