What Questions Do You Have for the SEC’s Division of Enforcement?

On April 28, 2009, KPMG Forensic is sponsoring a webcast entitled “Inside the SEC Enforcement Division: Current and Former SEC and DOJ Prosecutors Discuss Important Changes Ahead” that will feature George Curtis, the Deputy Director of the SEC’s Division of Enforcement. Curtis, Pam Parizek of KPMG Forensic, and David Seide of the law firm Curtis, Mallet-Prevost, Colt & Mosle LLP will lead a discussion on the extraordinary challenges now posed to the financial markets and individual investors, the steps being taken by the SEC’s Division of Enforcement to address them, and the significant impact these changes will have now and in the future.

The panel will discuss initiatives now being carried out at the SEC under the new leadership of Mary Schapiro and Robert Khuzami with respect to both key internal processes and the Enforcement Division’s fundamental priorities. The panel will also explore how these initiatives will impact regulated entities and their executives, as well as their advisers such as attorneys and auditors. The implications for “gatekeepers” and the challenges for corporate management that must now navigate heightened scrutiny in areas such as the FCPA, international issues, and overall compliance and monitoring will all be discussed.

Please join George Curtis, Pam Parizek, and David Seide as they address these topics as well as your questions in a free, one-hour webcast. The webcast will be moderated by Securities Docket’s Bruce Carton.

To attend this webcast scheduled for April 28, at 2 pm Eastern, please sign up below.

3 Comments

  • Randy Farrow
    Posted April 24, 2009, 8:55 am 8:55 am 0Likes

    Why doesn’t the SEC enforce the laws that the SEC has on it’s own books against Naked Short Selling (NSS)?

  • Rev. Robert Fry
    Posted April 28, 2009, 1:30 am 1:30 am 0Likes

    Why is it so hard to get anyone for the SEC to pull trading records on a company? Even when the shareholder on record have twice the float in hard copy certificates. It would seem to me, that should prompt a investigation, and pulling all the trading records seems so easy to do.
    From what I have seen of the SEC enforcement over the last 3 years, is a disgrace, and they wonder why we do not trust the market.

    Default judgments, no money recovered, companies shorted out of business, and shareholders can get no information, when they are holding 200% of the float.

    The market has been manipulated, and the SEC has been helping to it, from where I set, that is how I see it.

  • Sceptic0
    Posted April 28, 2009, 12:11 pm 12:11 pm 0Likes

    Why does the SEC allow a FORM 4 to be filed after the fact with no Reprocussions?

    Why doesn’t the SEC investigate the Illegal Shares Sold and Gifted on a FORM4?

    The Shares were illegally sold into the market as they were removed when the merger occurred.

    Instead of the SEC going after the FRAUD they aided it.

    Why has the SEC not adhered to the FOIA ? and provide the information requested regarding trading records?

    What are they hiding? The PROOF

Comments are closed.