‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSEC Heal Thyself: Compliance Program Revamped
The Securities and Exchange Commission just hasn’t had enough bad news recently, so last month the media piled on even more: a probe of insider-trading allegedly going on inside the SEC. The discovery of these two allegedly errant enforcement attorneys is extremely disappointing, yes—but it is not a sign of a corrupt organization. It certainly is not a reason to “demolish” anything. What it does (painfully) highlight is the need for the SEC to modernize its own insider-trading compliance program.
Flashback: 2007 – Chris Cox, Consensus Builder
In the current climate where former SEC Chairman Chris Cox appears to be universally criticized and blamed for all of the past and present ills at the SEC (and beyond), we thought it might be an interesting time to recirculate some of these articles from 2007. In early to mid-2007, Cox was being widely praised […]
DOJ Told SEC to Stand Down in its Stanford Investigation
The SEC was told to stand down in its investigation of Allen Stanford and his firm by the Department of Justice, according to Congressman Dennis Kucinich. Kucinich, who is also the chairman of the Domestic Policy Subcommittee of the Oversight and Government Reform Committee, confirmed to the FOX Business Network that “It is our understanding […]
Accused Former Credit Suisse Broker Turns Fugitive, Costing Two Friends Their Homes Posted as Bail
If you can’t trust a “crooked Wall Streeter … accused of placing investors’ money in risky mortgage securities without their permission” who can you trust? Julian Tzolov, a former Credit Suisse broker who has been charged criminally for defrauding his clients and has been on house arrest, failed to return to his Fifth Avenue condominium […]
Securities Docket A.M. News Wire for June 9, 2009
SEC asks Wall Street firms for information concerning pension fund business dealings; Allen Stanford’s New Lawyers: Admiralty And Maritime Law Experts; Madoff Trustee Sued Over Payout Terms; Report: Obama Administration Shelves Merger of SEC and CFTC; PCAOB Chairman Mark Olson to Retire; and more.