SEC, FINRA Enforcement Roundup: Eli Lilly to Pay $29M to Settle Foreign Bribery Charges
The SEC recently charged Eli Lilly for violations of the FCPA and barred an Arizona-based fund manager from the industry after the fund’s collapse. FINRA ordered Pruco Securities to pay $10.7 million.
SEC, FINRA, DOL Enforcement Roundup: Investing Website Exposed as $600M Scam
A CEO who fed inside tips to a pro baseball player and an investment website running a $600 million Ponzi scheme were among those charged by the SEC recently.