‘Enforcement 40’ for 2020
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By Securities Docket on November 8, 2013, 1:06 pm
The SEC announced today that LeeAnn Ghazil Gaunt has been named the new chief of the Enforcement Division’s Municipal Securities and Public Pensions Unit. Gaunt fills the vacancy created by the departure of former chief Elaine C. Greenberg, who left the SEC in July 2013. via LeeAnn Ghazil Gaunt Named Chief of SEC Enforcement’s Municipal […]
By Securities Docket on November 8, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for November 7, 2013.
By Securities Docket on November 8, 2013, 7:26 am
A growing number of whistleblower complaints are coming from compliance staffers as companies add employees in these areas, some attorneys say. Allegations of wrongdoing within a company often surface in the compliance department, which often is involved in internal investigations and receives employee complaints. Like other employees, compliance staff can under various statutes submit information […]
By Securities Docket on November 8, 2013, 7:23 am
For every judge like Jed Rakoff, who appears to believe that the judiciary should play an aggressive role in approving — or rejecting — civil settlements, there is a judge like Richard J. Sullivan, who seems to wonder what all the fuss is about. On Wednesday, Judge Sullivan of the federal district court in Manhattan approved the […]