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Showing 1 - 9 of 9 results for "DOJ"

Aon, Willis Towers Watson terminate merger

ELIZABETH MCARTHUR  |  TUESDAY, 27 JUL 2021
... opposed to the merger, and Aon chief executive Greg Case said the company eventually met an impasse with the regulator. "The DOJ position overlooks that our complementary businesses operate across broad, competitive areas of the economy," he said. "We ...

Manipulative trading at J.P. Morgan costs it over $1bn

ALLY SELBY  |  WEDNESDAY, 30 SEP 2020
... Pinto said. "We appreciate that the considerable resources we've dedicated to internal controls was recognised by the DOJ, including enhancements to compliance policies, surveillance systems and training programs." The settlement will see J.P. Morgan ...

Wells Fargo coughs up $4.5 billion

ALLY SELBY  |  MONDAY, 24 FEB 2020
... $4.5 billion (US$3 billion) settlement with the Securities and Exchange Commission (SEC) and the US Department of Justice (DOJ) resolves all criminal and civil charges against the besieged bank. In settlement with the SEC, Wells Fargo has agreed to establish ...

CFA Institute settles hiring dispute

DARREN SNYDER  |  WEDNESDAY, 27 FEB 2019
... US$321,000 ($446,768) following an investigation into the hiring process. The CFA institute said it co-operated fully with the DOJ during the course of its investigation into whether the institute's hiring practices violated the Immigration and Nationality ...

Actor linked to Malaysian pension fund scandal

ALEX BURKE  |  MONDAY, 19 JUN 2017
... scandal with ties to the Malaysian prime minister's stepson and US actor Leonardo DiCaprio, among other notable figures. The DoJ issued a statement on June 15 explaining it was seeking a further US$540 million out of the total amount, which built on ...

Doja faces jail time

RUTH LIEW  |  MONDAY, 31 MAR 2008
Former Sydney financial adviser Tunde Doja was last Friday sentenced to a minimum of three years and eight months imprisonment in the Sydney District Court following an investigation by the Australian Securities and Investments Commission (ASIC) into ...

Fraudulent advisers caught

RUTH LIEW  |  THURSDAY, 14 FEB 2008
Two Sydney men have been charged and found guilty by the Australian Securities and Investment Commissions (ASIC) for a combined 11 charges of fraud and delivering false financial advice. The two so called "advisers", Tunde Doja from Sydney and Mohammad ...

ASIC charges four over margin lending scam

HAMISH MADDEN  |  WEDNESDAY, 7 JUN 2006
Four people have been charged by the Australian Securities and Investments Commission (ASIC) regarding unlawful and misleading conduct which resulted in Sydney investors taking out and subsequently defaulting on Macquarie Bank Margin Lending loans. ...

Sydney financial advisers banned for good

ASIC has banned Tony Zareei and Tunde Doja permanently form providing any financial services, and from being representative of a securities dealer or investment adviser, after finding the pair had failed to perform their duties honestly efficiently ...
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