‘Enforcement 40’ for 2020
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By Securities Docket on October 25, 2013, 5:04 pm
Yesterday, law firm Morvillo Abramowitz released the inaugural edition of its new “SEC Enforcement Data Analyses” in which the firm examined SEC cases filed between January 1, 2013 and September 30, 2013. The report offered findings on the number of “Core” cases filed by the SEC, the amounts of penalties, and the percentage of settled […]
By Securities Docket on October 25, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for October 24, 2013.
By Securities Docket on October 25, 2013, 8:09 am
White has been on the job for only six months, but the tone she’s set can already be felt across Washington. Following her lead, other agencies and federal prosecutors are also demanding guilty pleas and enormous fines. On Oct. 16, JPMorgan Chase (JPM) agreed to pay $100 million to the U.S. Commodity Futures Trading Commission […]
By Securities Docket on October 25, 2013, 8:03 am
Massachusetts Senator Elizabeth Warren is seeking information about the enforcement track record of the government’s financial industry regulators, saying she wants to increase Wall Street accountability. Warren this week sent letters to the Federal Reserve System, US Securities and Exchange Commission, and the Office of the Comptroller of the Currency asking for statistics on prosecutions […]
By Securities Docket on October 25, 2013, 8:02 am
A former Bell Potter Securities adviser who pleaded guilty to dishonest conduct involving more than $1.7 million has had his original suspended sentence quashed and been jailed for one year by the NSW Court of Criminal Appeal. via News News: ASIC gets serious with jail time — Wealth Professional