‘Enforcement 40’ for 2020
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By Securities Docket on August 14, 2013, 5:42 pm
Morgan Keegan investors have waited over two years for the SEC to distribute a $100 million Fair Fund settlement. The wait has led several Morgan Keegan victims in Mississippi to file a lawsuit against the SEC over the delay, and today the Mississippi Secretary of State filed its own Amicus Curiae brief in support of […]
By Securities Docket on August 14, 2013, 3:48 pm
In the first full year of operation for the Securities and Exchange Commission’s Dodd-Frank whistle-blower program, the agency received 324 tips from whistle-blowers working outside of the United States – almost 11 percent of all the whistle-blower reports received by the SEC. If those tips eventually result in sanctions of more than $1 million, the […]