‘Enforcement 40’ for 2020
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By Securities Docket on June 4, 2009, 6:55 am
SEC Probes Its Own Chummy Ties To Madoff; Epiq wins partial victory in backdating lawsuit; Regulators probe Japan’s Aozora Bank for possible insider trading; SEC Finalizes ARS Settlements With Bank of America, RBC and Deutsche Bank; Jury Finds Against Former CEO of Kmart in Rare SEC Trial; and more.