‘Enforcement 40’ for 2020
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21-Month Sentence Just One of the Consequences of Former Deloitte Partner’s Insider Trading
Full slate of consequences for Thomas Flanagan goes well beyond 21-month prison sentence.
Hurricane Sandy: Rare NYSE, Nasdaq Closing Monday For Damaging Storm
Hurricane Sandy shuts down U.S. stock and options markets.
SEC’s ‘Aberrational Performance Inquiry’ Initiative Produces Seventh Hedge Fund Case
SEC says its “Aberrational Performance Inquiry” initiative put hedge fund called Yorkville Advisors LLC “front and center on our radar screen.”
SEC’s ‘.44 Magnum’ Case Has Everything from One-Eyed Mystery Villains to Vegas Call Girls
Facts alleged in SEC’s “.44 Magnum Leveraged Financing Program” case may leave you shaking your head.
Enforcement Actions Against Advisors Nearly Doubled: NASAA
Enforcement actions against investment advisory firms by state securities regulators nearly doubled to 399 in 2011.
Australia: Sigma pays $57m to end class action
$57.5 million settlement ends shareholder class action over disclosure during the financial crisis.
Judging if Wiretaps Are Necessary – DealBook
Second Circuit to hear critical wiretap argument in insider trading case.
Rajat Gupta Gets Two-Year Sentence for Insider Trading
Former Goldman Sachs Group Inc. director sentenced to two years in prison in insider case.
SEC Commissioner Aguilar’s ‘No Nonsense’ Proposals for a More Effective Enforcement Program
SEC Commissioner Luis Aguilar on prioritizing individual accountability, “maximum deterrence” and the fight against recidivism.
SEC launches inquiry into audits handled by Natwar Gandhi’s office
SEC looking into audits handled by the D.C. Office of the Chief Financial Officer.