September 6, 2024/US SEC The Securities and Exchange Commission today 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.S. Steel Corporation for $35 per share even though Esmark lacked the financial means to consummate […]
Frauds & Scandals
SEC Charges Former Finance Director at CIRCOR International with Accounting Fraud
Company settles SEC’s charges for related accounting controls violations; avoids penalties based on self-report, cooperation, and remediation September 5, 2024/US SEC The Securities and Exchange Commission today announced fraud charges against Nicholas Bowerman, a former finance director of CIRCOR International Inc., a formerly publicly traded technology manufacturer. The SEC alleges […]
SEC Charges Broker-Dealer Nationwide P lanning and Two Affiliated Investment Advisers with Violating Whistleblower Protection Rule
NJ-based firms impeded clients from voluntarily reporting information to the SEC September 4, 2024/US SEC The Securities and Exchange Commission today announced settled charges against three affiliated registrants, Commission-registered broker-dealer Nationwide Planning Associates, Inc. and investment adviser NPA Asset Management, LLC, and state-registered investment adviser Blue Point Strategic Wealth Management, […]
