An exchange-traded commodity pool trading oil futures and its general partner, a CPO, settled parallel SEC and CFTC charges for misleading disclosure statements.
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Two entities and their principals settled SEC charges for the sales of unregistered oil and gas securities and material misstatements in connection with those offerings.
A gas exploration company and its former CEO settled SEC charges for failing to disclose certain related person transactions and perquisites as part of the CEO's compensation.
The DOJ charged five individuals with conspiracy and violations of the Emergency Economic Powers Act by arranging for the purchase of oil from the Republic of Iran.
A Miami-based Ecuadorian citizen pleaded guilty to DOJ charges of bribery and money laundering involving public officials at a state-owned and state-controlled oil company in Ecuador.