Friday, May 22, 2015

SEC News - FCPA Violations; BD Fraud Charges; Suitability Allegations

SEC Charges BHP Billiton With Violating FCPA at Olympic Games
Global resources company BHP Billiton has been charged with violating the Foreign Corrupt Practices Act (FCPA) when it sponsored the attendance of foreign government officials at the Summer Olympics.

Brokerage Firm Co-Owners Charged With Defrauding Investors
Co-owners of a Manhattan-based brokerage firm now face fraud charges.

Investment Firm and Two Executives Accused of Defrauding Police and Firefighter Pension Funds
An Atlanta-based investment advisory firm and two executives have been accused of selling unsuitable investments to pension funds for the city’s police and firefighters, transit workers, and other employees.
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