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News Stories (10 Results) - Securities and Exchange Commission

Wells Fargo & Company announced it has entered into agreements with the U.S. Department of Justice (DOJ) and the U.S. Securities and Exchange Commission (SEC) to resolve these agencies’ investigations into the company’s historical Community Bank... Read Story
February 24, 2020, 07:25 AM

Celadon Group, Inc. announced that it, along with its 25 affiliate entities, have filed voluntary petitions for relief under Chapter 11 of the Bankruptcy Code in the U.S. Bankruptcy Court for the District of Delaware. Celadon also announced it will... Read Story
December 09, 2019, 07:30 AM

The former Chief Operating Officer and Chief Financial Officer of Celadon Group Inc., a publicly traded transportation and trucking company headquartered in Indianapolis, IN, were charged in an indictment unsealed Dec. 5 for their alleged role in a... Read Story
December 06, 2019, 07:30 AM

DLL announced the closing of a DLL 2019-3 ABS (Asset Backed Securities) securitization transaction in the United States for $1.241 billion. The transaction is an inaugural securitization backed by a pool of loans and leases secured by construction... Read Story
October 22, 2019, 07:31 AM

Celadon Group Inc. (Celadon) has agreed to pay total restitution of $42.2 million for filing materially false and misleading statements to investors and falsifying books, records and accounts.Assistant Attorney General Brian A. Benczkowski of the... Read Story
April 26, 2019, 07:30 AM

The Securities and Exchange Commission announced Moody’s Investors Service Inc., one of the nation’s largest credit ratings agencies, has agreed to pay a total of $16.25 million in penalties to settle charges involving internal control failures and... Read Story
August 29, 2018, 07:30 AM

The Independent Community Bankers of America (ICBA) thanked the Securities and Exchange Commission for issuing an ICBA-supported final rule reducing disclosure requirements for publicly held community bank holding companies. The unanimously approved... Read Story
July 02, 2018, 07:00 AM

The Securities and Exchange Commission charged an equipment leasing company and its founder with defrauding investors in connection with sales of over $80 million in promissory notes.According to the SEC's complaint, between 2014 and 2017, Essex... Read Story
June 08, 2018, 07:30 AM

The Securities and Exchange Commission charged a Rhode Island agency and its bond underwriter Wells Fargo Securities with defrauding investors in a municipal bond offering to finance startup video game company 38 Studios. The Rhode Island Economic... Read Story
March 08, 2016, 08:00 AM

Bloomberg reported that BCI Aircraft Leasing Inc. and its principal, Brian Hollnagel, were found guilty by a federal court jury of engaging in a fraudulent $50 million financing scheme, Chicago U.S. Attorney Patrick Fitzgerald said. He faces as long... Read Story
March 15, 2012, 08:15 AM