February 23, 2021/US SEC The Securities and Exchange Commission today suspended two former KPMG auditors from practicing before the SEC in connection with settled charges against the two for improper professional conduct during an audit of the now defunct, not-for-profit College of New Rochelle. The SEC previously charged the college’s […]
Frauds & Scandals
SEC Awards More Than $9.2 Million to Whistleblower for Successful Related Actions, Including Agreement With DOJ
February 23, 2021/US SEC The Securities and Exchange Commission today announced an award of more than $9.2 million to a whistleblower who provided information that led to successful related actions by the U.S. Department of Justice, one of which was a non-prosecution agreement (NPA) or deferred prosecution agreement (DPA). The […]
SEC Obtains Final Judgment Against Connecticut Investment Adviser Who Misappropriated Funds from Clients
February 22, 2021/US SEC The Securities and Exchange Commission today announced the entry of a final judgment against former Connecticut investment adviser James T. Booth. The SEC complaint, filed on September 30, 2019, alleges that Booth operated a multi-million dollar Ponzi scheme that bilked over three dozen retail investors, including […]
