‘Enforcement 40’ for 2020
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Stanford ex-CFO Davis gets 5-year prison sentence
Government’s top witness pleaded guilty to fraud, conspiracy to commit fraud and conspiracy to obstruct an SEC investigation.
Vincente Martinez to Rejoin SEC as Chief of Office of Market Intelligence
Martinez rejoins the SEC following a stint at the Commodity Futures Trading Commission.
‘You Don’t Want to Mess With Mary Jo!’ – Compliance Week
Her performance and legacy as SEC chairman will be determined in the coming years, but it is hard to imagine a much better introduction than having the President of the United States tell the world, “You don’t want to mess with Mary Jo!” Check out the video of President Obama announcing the appointment of Mary […]
The SEC at a Crossroads: Can Things Be Turned Around? — CLS Blue Sky Blog
Bold steps are needed. And this means an auspicious beginning – perhaps an announcement by the new Chair on Day One that the SEC is undergoing a Roosevelt-style “First Hundred Days.” During that time, a fresh look at the way each office conducts its operations should be considered. There are quite a few things that […]
Securities Docket News Wire for January 24, 2013
Get caught up with the Securities Docket News Wire for January 24, 2013.
Nominated to Head SEC, White Expected to Bring Focus on Enforcement
White expected to bring an even greater focus on enforcement.