Consent decree

CFP Board Imposes Public Sanctions on Nine Additional Individuals

Retrieved on: 
Friday, April 5, 2024
Other Professional Services, Personal Finance, Finance, Asset Management, Consulting, Accounting, Professional Services, Business, Failure, General ledger, NAC, Counsel, Professional services, FINRA, Consent decree, Consent, Employment, Form, Seriousness, Enforcement, Censure, Calendar, Social Security, Documentation, Letter, District court, Code, Commission, Administration, Ethics commission, Associate, DEC, Motion, Complaint, Social, CFP, AWC, Financial Industry Regulatory Authority, Financial adviser

Robert P. Baffa Jr., CFP® (Las Vegas, Nevada): In January 2024, the Disciplinary and Ethics Commission (Commission) issued an order in which Mr. Baffa received a Public Censure.

Key Points: 
  • Robert P. Baffa Jr., CFP® (Las Vegas, Nevada): In January 2024, the Disciplinary and Ethics Commission (Commission) issued an order in which Mr. Baffa received a Public Censure.
  • Pursuant to his Consent Order with CFP Board, the Commission issued Mr. Ercole an Order of Public Censure.
  • Pursuant to this Consent Order with CFP Board, the Commission issued Ms. Hayut a Suspension of One Year and One Day.
  • This sanction followed the expiration of Mr. Kirkpatrick’s CFP® certification and his failure to file an Answer to CFP Board Enforcement Counsel’s Complaint within the required time frame.

U. S. Steel Consent Decree for Clairton Plant Incidents Authorized by Environmental Protection Agency and Department of Justice

Retrieved on: 
Tuesday, March 26, 2024
Environment, Manufacturing, Environmental Issues, Green Technology, Environmental Health, Steel, Allegheny County, Pennsylvania, Consent, Letter, U.S. Steel, U.S. EPA, Public, Consent decree, Edgar Thomson Steel Works, DOJ, Plant, Clairton, Pennsylvania, Coke, Monongahela River, United States district court, Hydrogen, Safety, Economic development, Iron

United States Steel Corporation (NYSE: X) has received authorization for its multi-million-dollar Consent Decree from the United States Environmental Protection Agency (U.S. EPA) and the United States Department of Justice (DOJ).

Key Points: 
  • United States Steel Corporation (NYSE: X) has received authorization for its multi-million-dollar Consent Decree from the United States Environmental Protection Agency (U.S. EPA) and the United States Department of Justice (DOJ).
  • The January 2024 Consent Decree with the Allegheny County Health Department, Clean Air Council, and PennEnvironment addressed the Clairton Plant fire in 2018, and power outages at the Plant in 2019 and 2022.
  • Project funds will be managed and distributed by the Jefferson Regional Foundation and Allegheny County Department of Economic Development.
  • On March 20, 2024, DOJ issued a letter stating that they had no objections to the Consent Decree.

3-Hour Root Cause Analysis, Corrective and Preventive Actions (CAPA) and Effectiveness Checks Virtual Seminar - ResearchAndMarkets.com

Retrieved on: 
Monday, November 13, 2023
Health, General Health, Root cause analysis, Cosmetics, Quality, Organization, Consent decree, CAPA, Pareto analysis, Diagram, Knowledge, Animal Health, Risk management, Industrial design, Plasma, Blood, Pharma

The "3-Hour Virtual Seminar on Root Cause Analysis, CAPA and Effectiveness Checks" webinar has been added to ResearchAndMarkets.com's offering.

Key Points: 
  • The "3-Hour Virtual Seminar on Root Cause Analysis, CAPA and Effectiveness Checks" webinar has been added to ResearchAndMarkets.com's offering.
  • This comprehensive course offers essential knowledge and practical skills in root cause analysis, corrective and preventive actions (CAPA), and conducting effectiveness checks.
  • Participants will learn systematic approaches to identify root causes, develop effective CAPA plans, and assess the success of implemented solutions.
  • Participants will learn to differentiate between corrective and preventive actions and develop robust CAPA plans to prevent recurring issues.

3-Hour Virtual Seminar on Root Cause Analysis, Corrective and Preventive Actions (CAPA) and Effectiveness Checks: Solving Problems at the Core, Proactive Quality Management, Organizational Excellence

Retrieved on: 
Friday, November 24, 2023
Root cause analysis, Cosmetics, Quality, Organization, Consent decree, Corrective and preventive action, CAPA, Pareto analysis, Diagram, Knowledge, Animal Health, Risk management, Fishbone, Plasma, Blood, Pharma

DUBLIN, Nov. 24, 2023 /PRNewswire/ -- The "3-Hour Virtual Seminar on Root Cause Analysis, CAPA and Effectiveness Checks" webinar has been added to ResearchAndMarkets.com's offering.

Key Points: 
  • DUBLIN, Nov. 24, 2023 /PRNewswire/ -- The "3-Hour Virtual Seminar on Root Cause Analysis, CAPA and Effectiveness Checks" webinar has been added to ResearchAndMarkets.com's offering.
  • This comprehensive course offers essential knowledge and practical skills in root cause analysis, corrective and preventive actions (CAPA), and conducting effectiveness checks.
  • Participants will learn systematic approaches to identify root causes, develop effective CAPA plans, and assess the success of implemented solutions.
  • Join our interactive training course to gain a deep understanding of root cause analysis methodologies, including the 5 Whys, Fishbone (Ishikawa) Diagram, and Pareto Analysis.

Audit Like the FDA: 2 Day Virtual Effective Internal Audit Program Seminar

Retrieved on: 
Tuesday, October 31, 2023
Lecture, Student, Internal audit, Culture, FDA, Risk, Communication, Consent decree, Medical device, Audit, Risk management

DUBLIN, Oct. 31, 2023 /PRNewswire/ -- The "Audit Like the FDA - Effective Internal Audit Program" seminar has been added to ResearchAndMarkets.com's offering.

Key Points: 
  • DUBLIN, Oct. 31, 2023 /PRNewswire/ -- The "Audit Like the FDA - Effective Internal Audit Program" seminar has been added to ResearchAndMarkets.com's offering.
  • This 2 day seminar will explore how to create and implement an efficient and effective internal audit program.
  • A well-designed audit program can be an effective tool in understanding, communicating, and reducing quality and compliance risk.
  • And despite having an internal audit program, management is often surprised when they receive a 483, Warning Letter, or even a Consent Decree.

Fang Holdings Announces Outcome of the Winding Up Petition Against the Company

Retrieved on: 
Tuesday, October 24, 2023
Segregated portfolio company, Cayman Islands, OTC, FSD, Consent decree, Grand Court Order of Calanthe, DDJ, Old Order German Baptist Brethren, Practice of law, Financial services

BEIJING, Oct. 24, 2023 (GLOBE NEWSWIRE) -- Fang Holdings Limited (OTC: SFUNY) (“Fang” or the “Company”), a leading real estate Internet portal in China, today announced that the Grand Court of the Cayman Islands (the “Cayman Court”) approved a Consent Order signed by the parties regarding the withdrawal of: (i) the winding up petition presented by Evenstar Master Fund SPC (for and on behalf of Evenstar Master Sub-Fund I Segregated Portfolio) and Evenstar Special Situations Limited (collectively, the “Petitioners”) against the Company on 12 November 2020 (as amended); (ii) the application for appointment of provisional liquidators over the Company filed by the Petitioners on 4 December 2020; and (iii) the application for reconstitution of the board of the Company dated 18 June 2021.

Key Points: 
  • BEIJING, Oct. 24, 2023 (GLOBE NEWSWIRE) -- Fang Holdings Limited (OTC: SFUNY) (“Fang” or the “Company”), a leading real estate Internet portal in China, today announced that the Grand Court of the Cayman Islands (the “Cayman Court”) approved a Consent Order signed by the parties regarding the withdrawal of: (i) the winding up petition presented by Evenstar Master Fund SPC (for and on behalf of Evenstar Master Sub-Fund I Segregated Portfolio) and Evenstar Special Situations Limited (collectively, the “Petitioners”) against the Company on 12 November 2020 (as amended); (ii) the application for appointment of provisional liquidators over the Company filed by the Petitioners on 4 December 2020; and (iii) the application for reconstitution of the board of the Company dated 18 June 2021.
  • Accordingly, the entire proceedings under Cayman Court Cause No: FSD 278 of 2020 (DDJ) are discontinued.
  • The parties are released from all undertakings given to the Cayman Court in these proceedings.

GSI Exchange Bolsters Investor Protection with Resolution in Texas

Retrieved on: 
Friday, October 13, 2023
Texas State Securities Board, Consent decree, GSI, Metal, Cryptocurrency

"In far too many cases, alleged violations of investor protection laws correlate with significant financial losses," said Texas State Securities Board Commissioner Travis J. Iles.

Key Points: 
  • "In far too many cases, alleged violations of investor protection laws correlate with significant financial losses," said Texas State Securities Board Commissioner Travis J. Iles.
  • "The settlement with GSI Exchange [and CEO Anthony Allen] Anderson is different.
  • GSI Exchange has been proactive, enhancing its corporate compliance policies to ensure they strictly focus on their operations without offering investment advice.
  • "Our recent agreement with Texas reaffirms our dedication to investor protection.

GSI Exchange Reinforces Customer Confidence with Resolution in Arkansas

Retrieved on: 
Thursday, September 14, 2023
IRAS, PALM, Better Business Bureau, Decree, Metal, Silver, Palladium, BBB, Gold, Consent decree, BCA, Triple, Financial adviser

PALM BEACH COUNTY, Fla., Sept. 14, 2023 /PRNewswire-PRWeb/ -- GSI Exchange recently announced that it has successfully addressed an inquiry from the state of Arkansas via a mutually agreed upon Consent Decree. Under the terms of this Decree, GSI Exchange will present customers who acquired precious metals before July 22, 2021, with the choice of either receiving a full refund of their initial purchase price or retaining their metals. GSI Exchange is additionally fine-tuning its corporate compliance framework to ensure that its operations stay clear of offering investment advice. The Decree does not serve as an acknowledgment of culpability or any form of misconduct by GSI Exchange or its affiliates. Maintaining quality service and expertise for its customers has always been a prime focus for GSI Exchange. This amicable settlement only strengthens GSI Exchange's resolve to continue offering superior service to all its clientele. About GSI Exchange Founded by industry veterans, GSI Exchange is a premier national coin and precious metals company, highly regarded for its impeccable reputation. The organization holds an A+ rating with the Better Business Bureau (BBB) and a Triple-A rating from the Business Consumer Alliance (BCA). Adding to its accolades, GSI Exchange is a proud member of the National Coin and Bullion Association and maintains a five-star rating on Google reviews. For those interested in authentic customer testimonials, live audio reviews are available for listening directly on the homepage of their website. With a physical delivery management team that collectively brings over 75 years of market experience, GSI Exchange also enjoys strong relationships with some of the largest suppliers in the country. In terms of transactional success, GSI Exchange has completed over $100 million in business. Specializing in the discreet delivery of physical gold and silver to residences across the United States, the company also excels at converting traditional IRAs and 401(k)s into physical precious metals IRAs, in collaboration with top-tier custodians in the United States. The company offers an extensive inventory of the highest-quality silver, gold, palladium, and platinum coins, all competitively priced. For further information, interested parties may visit https://gsiexchange.com/ or call 1.800.474.9159. [GSI Exchange __title__ ] recently announced that it has successfully addressed an inquiry from the state of Arkansas via a mutually agreed upon Consent Decree.

Key Points: 
  • GSI Exchange is additionally fine-tuning its corporate compliance framework to ensure that its operations stay clear of offering investment advice.
  • The Decree does not serve as an acknowledgment of culpability or any form of misconduct by GSI Exchange or its affiliates.
  • About GSI Exchange Founded by industry veterans, GSI Exchange is a premier national coin and precious metals company, highly regarded for its impeccable reputation.
  • Maintaining quality service and expertise for its customers has always been a prime focus for GSI Exchange.

GSI Exchange Reinforces Commitment to Customer Trust with Resolution in Alabama

Retrieved on: 
Thursday, September 14, 2023
Decree, Consent decree, Guilt, Metal, GSI

Palm Beach County, Florida--(Newsfile Corp. - September 13, 2023) - GSI EXCHANGE is pleased to report that it has resolved the inquiry from the state of Alabama, through a negotiated Consent Decree.

Key Points: 
  • Palm Beach County, Florida--(Newsfile Corp. - September 13, 2023) - GSI EXCHANGE is pleased to report that it has resolved the inquiry from the state of Alabama, through a negotiated Consent Decree.
  • GSI is also refining its corporate compliance program to ensure that its practices do not cross over into providing investment advice.
  • Nothing in the Decree serves as an admission of guilt or wrongdoing on the part of GSI or its representatives.
  • This resolution only enhances GSI's determination to provide superior service to its customers.

Granite Selected for Approximately $215 Million Tunnel Project in Akron Ohio

Retrieved on: 
Tuesday, August 15, 2023
Environment, Other Construction & Property, Sustainability, Environmental Health, Construction & Property, Urban Planning, GVA, Sewage, Ohio Environmental Protection Agency, Multimedia, CP/M, Cuyahoga River, City, Northside, Consent decree, Engineering, NSIT, Health, NYSE, Tunnel, Granite

Granite (NYSE:GVA) has been awarded an approximately $215 million contract by the city of Akron, Ohio to construct the Northside Interceptor Tunnel Project (NSIT) to aid in preventing combined sewer overflows from entering the Cuyahoga River during typical storms.

Key Points: 
  • Granite (NYSE:GVA) has been awarded an approximately $215 million contract by the city of Akron, Ohio to construct the Northside Interceptor Tunnel Project (NSIT) to aid in preventing combined sewer overflows from entering the Cuyahoga River during typical storms.
  • Project funding will come from the Ohio Environmental Protection Agency’s Water Pollution Control Loan Fund (WPCLF) and is expected to be included in Granite’s third-quarter CAP.
  • View the full release here: https://www.businesswire.com/news/home/20230815536995/en/
    The NSIT project encompasses various components that will ensure its efficacy and success.
  • “We have a great working relationship with the City of Akron from the previous Ohio Canal Interceptor Tunnel Project.