10/26/2017
According to the SEC’s complaint, despite being caught by the firm and told to stop on two occasions in 2010 and 2012, Rashid continued to expense personal items to clients into 2013.
10/26/2017
She spent the money on personal trainer sessions, hotel stays at 11 Howard in SoHo and other personal expenses, prosecutors said.
10/25/2017
This week the SEC approved the PCAOB’s new auditor reporting standard, which makes significant changes to the nature and scope of the auditor’s required disclosures about matters specific to the particular audit.
10/23/2017
The SEC is seeking permanent injunction, penalties and disgorgement against Rogicki, according to the complaint.
10/13/2017
Guggenheim has been a shareholder of Diamond’s African banking venture, Atlas Mara Ltd., since its 2013 initial public offering.