Sunday - January 22, 2017
Federal Regulatory Agencies

News releases, reports, statements and associated documents from federal regulatory agencies ranging from the Securities Exchange Commission to the Commodities Futures Trading Commission

Featured Stories

Western Union Admits Anti-Money Laundering Violations and Settles Consumer Fraud Charges, Forfeits $586 Million in Settlement with FTC and Justice Department
WASHINGTON, Jan. 19 -- The Federal Trade Commission issued the following news release:

The Western Union Company (Western Union), a global money services business headquartered in Englewood, Colorado, has agreed to forfeit $586 million and enter into agreements (https://www.ftc.gov/system/files/documents/cases/western_union_consent_order_final_jan2017.pdf) with the Federal Trade Commission, the Justice Department, and the U.S. Attorneys' Offices of the Middle District of Pennsylvania, the Central District of California, the Eastern District of Pennsylvania and the Southern District of Florida. ... Show Full Article

Stock Promoters Charged with Market Manipulation Settle SEC Action
WASHINGTON, Jan. 19 -- The Securities and Exchange Commission issued the following litigation release:

On December 30, 2016, and January 17, 2017, the Honorable Sterling Johnson, Jr., U.S. District Judge for the Eastern District of New York, entered final judgments against Cort Poyner and Mohammad Dolah, both defendants in an SEC action alleging that they engaged in a fraudulent broker bribery scheme designed to manipulate the market for the common stocks of Resource Group International, Inc. and Gold Rock Resources Inc.

The judgments permanently enjoin Poyner and Dolan from violating Section ... Show Full Article

SEC Issues Administrative Proceeding on VCAP Securities
WASHINGTON, Jan. 19 -- The Securities and Exchange Commission issued the following administrative proceeding (File No. 3-16389) involving VCAP Securities and Brett Thomas Graham on disbursement of fair fund:

On February 19, 2015, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b)(4), 15(b)(6) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order ... Show Full Article

SEC Issues Administrative Proceeding on Bob Brakeman Enterprises
WASHINGTON, Jan. 19 -- The Securities and Exchange Commission issued the following administrative proceeding (File No. 3-17803) involving Bob Brakeman Enterprises:

I.

The Securities and Exchange Commission ("Commission") deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are, instituted pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 ("Advisers Act") and Section 9(b) of the Investment Company Act of 1940 ("Investment Company Act") against Bob Brakeman Enterprises, LLC ("BBE") and ... Show Full Article

SEC Chief of Staff Andrew J. Donohue to Leave Agency
WASHINGTON, Jan. 19 -- The Securities and Exchange Commission issued the following news release:

The Securities and Exchange Commission today announced that SEC Chief of Staff Andrew J. "Buddy" Donohue will be leaving the agency at the end of January.

SEC Chair Mary Jo White named Mr. Donohue as Chief of Staff in May 2015. As Chief of Staff, Mr. Donohue was a senior adviser to the Chair on all policy, management, and regulatory issues. Mr. Donohue had previously served as the Director of the SEC's Division of Investment Management from May 2006 to November 2010.

"Buddy is a seasoned professional ... Show Full Article

NRC Receives Event Notification Report on LaSalle
WASHINGTON, Jan. 19 -- The Nuclear Regulatory Commission issued the following event notification report involving LaSalle in Illinois:

Power Reactor

Event Number: 52496

Facility: LASALLE

Region: 3 State: IL

Unit: [1] [2] [ ]

RX Type: [1] GE-5,[2] GE-5

NRC Notified By: MICHAEL LEE

HQ OPS Officer: DONALD NORWOOD

Notification Date: 01/19/2017

Notification Time: 00:39 [ET]

Event Date: 01/18/2017

Event Time: 20:56 [CST]

Last Update Date: 01/19/2017

Emergency Class: NON EMERGENCY

10 CFR Section:

50.72(b)(3)(v)(C) - POT UNCNTRL RAD REL

50.72(b)(3)(v)(D) ... Show Full Article

Jennifer Diamantis Named Chief of Office of Market Intelligence
WASHINGTON, Jan. 19 -- The Securities and Exchange Commission issued the following news release:

The Securities and Exchange Commission today announced that Jennifer A. Diamantis has been named Chief of the Enforcement Division's Office of Market Intelligence, which is responsible for the collection, analysis, and monitoring of the hundreds of thousands of tips, complaints, and referrals that the SEC receives each year.

Before arriving at the SEC in September 2016 to become Deputy Chief of the office, Ms. Diamantis held various positions in the private sector and at federal agencies, including ... Show Full Article