‘Enforcement 40’ for 2020
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By Securities Docket on January 4, 2014, 9:18 am
In 2013, the SEC brought fewer enforcement actions involving financial fraud and issuer disclosure — 68 — than during any year in the previous decade. Even including Foreign Corrupt Practices Act cases, the number was still a record-low 73, compared to 94 cases brought the previous year and far down from the high-water mark of […]
Posted in SEC, Top | Tagged Financial Fraud
By Securities Docket on January 4, 2014, 9:00 am
The tenure of George S. Canellos, who was co-chief of enforcement, covered one of the most significant periods in the agency’s 80-year history. Mr. Canellos joined in 2009, after the agency’s failure to detect Bernard L. Madoff’s Ponzi scheme made it a symbol of regulatory incompetence. Nearly five years later, as the agency has regained […]
Posted in People, SEC, Top | Tagged Regulators
By Securities Docket on January 4, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for January 3, 2014.