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SEC at the ‘Inflection Point’ — Commissioner Aguilar Looks at the Challenges Ahead
Commissioner says SEC is chronically underfunded, lacks any real control over its own budget.
June 22 Webcast: FATCA Compliance — Preparing for the Challenges Ahead
Please join Richard Kando, Jeffrey Locke and Philip West, Esq., for this free webcast.
Securities Docket News Wire for June 22, 2011
Get caught up with the Securities Docket News Wire for June 22, 2011.
Abbe Tiger named head of the N.J. Bureau of Securities
Former prosecutor and SEC lawyer to head N.J. bureau.
Mel Weiss: Trying to Get Back in the Game
[Mel] Weiss lost his license to practice law when he pleaded guilty in 2008 to making illegal kickback payments to his clients. He spent a year in prison, another four months in a halfway house, and is now on probation for three years. And though he is disbarred, Mr. Weiss wants to get back in […]
JPMorgan to pay $153.6M to settle fraud charges
Bank to pay $153.6 million in SEC case concerning complex mortgage investments.
Former AG Wants ‘Meaningful’ FCPA Advice From Feds
Mukasey proposed improvements for federal guidance and advisory opinions.