Tag: audit
SEC Fines Ernst & Young $100 Million After Auditors Cheat on...
Ernst & Young LLP, one of the largest accounting firms in the world, has been fined $100 million by the Securities and Exchange Commission...
SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct
The Securities and Exchange Commission has settled charges against three former KPMG LLP audit partners who allegedly shared answers to internal training exams and...
FINRA Bars Raymond James Compliance Associate for Doctoring Branch Audit Forms
The Financial Industry Regulatory Authority has barred a former Raymond James & Associates Inc. compliance associate for allegedly falsifying firm branch audit data to...
SEC Fines Audit Firm KPMG $50 Million for “Astounding” Misconduct
The Securities and Exchange Commission has charged audit firm KPMG LLP with altering past audit work after receiving stolen information about inspections of the...
LPL Fined $450K by Indiana Secretary of State
Indiana Secretary of State Connie Lawson has agreed to a settlement of $450,000 with LPL Financial LLC, the nation’s largest independent broker-dealer. The settlement...
