July 06, 2015
The U.S. Securities and Exchange Commission granted Macquarie Capital USA Inc. a full waiver from disqualification from private securities transactions Monday following the company's agreement to pay $15 million to settle claims over its allegedly botched underwriting of a Chinese coal company's stock offering.
May 19, 2015
A U.S. Securities and Exchange Commission division has granted Macquarie Capital USA Inc. a temporary reprieve from being disqualified from private securities transactions after it signed a $15 million settlement with the agency over its allegedly botched underwriting of a Chinese coal company's stock offering.
March 27, 2015
A New York-based brokerage firm agreed Friday to pay $15 million to settle the U.S. Securities and Exchange Commission's charges it underwrote a public offering for a purported Chinese coal firm despite knowing the company's offering materials contained false information, according to the SEC.