Subscribe
‘Enforcement 40’ for 2020
Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedInSEC official says staff may have too much power over subpoenas — Reuters
A top U.S. securities regulator on Friday questioned the methods used by his agency to subpoena the targets of investigations, saying he feared they lack oversight and delegate too much power to enforcement attorneys. Speaking before the Los Angeles County Bar Association, Securities and Exchange Commission Republican member Michael Piwowar said he believes it is […]
JPMorgan’s top lawyer fires back at regulators – The Term Sheet
Apparently, JPMorgan Chase’s top lawyer has some hurt feelings over his bank’s recent $13 billion fine. Stephen Cutler, speaking Friday morning at an industry conference, fired back at the government and said that the regulation of banks is spiraling out of control. He said regulators are wasting taxpayers’ resources by piling on infractions and issuing multiple fines […]
The Changing Face of SEC Career Opportunities – Compliance Week
It is Friday, so let’s take a brief break from the serious to try to answer the following question: why did the SEC change the photo on the cover of its Facebook page for “Career Opportunities?” The true answer may never be known but I believe there is a simple explanation: the need to eliminate […]
Securities Docket News Wire for November 21, 2013
Get caught up with the Securities Docket News Wire for November 21, 2013.
Australia: Wine boss slams ‘crazy’ lawsuits — Stock & Land
The chief executive of the world’s biggest winemaker, Treasury Wine Estates, has lashed out at the rising tide of ”crazy class actions” hurled at boardrooms, arguing they were being manufactured by self-interested litigators. via Wine boss slams ‘crazy’ lawsuits — Stock & Land