‘Enforcement 40’ for 2020
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By Securities Docket on December 13, 2013, 3:28 pm
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By Securities Docket on December 13, 2013, 9:42 am
The top U.S. securities regulator is stepping up scrutiny of “reverse churning,” a practice in which brokerage firms trade very infrequently in accounts they manage for fixed fees, according to an official. via U.S. Regulator Intensifies Scrutiny Of Fee-Based Accounts — Financial Advisor
By Securities Docket on December 13, 2013, 9:39 am
McGraw Hill Financial Inc.’s Standard & Poor’s said it would be unfair to let the U.S. Justice Department put more than 150 selected securities before a jury to argue the firm’s ratings were the result of fraud. S&P’s lawyer, John Keker, said at a hearing yesterday in federal court in Santa Ana, California, that if […]
By Securities Docket on December 13, 2013, 9:38 am
Securities and Exchange Commission Chair Mary Jo White says her team will not shy away from high-stakes trials, and not just strike settlements with wrongdoers, but a string of recent court setbacks shows she has her work cut out for her. via Analysis: SEC plans to take more cases to trial despite losses — Reuters