‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn
You are browsing the site archives by date.
By Securities Docket on May 13, 2014, 3:17 pm
Until now, only those who invested money directly with Bernard L. Madoff Investment Securities were eligible to receive a piece of the money recovered from the fraud. Investors in so-called feeder funds, which themselves invested in Mr. Madoff’s scheme, have been denied recoveries by Irving Picard, the trustee appointed by the Securities Investor Protection Corp. […]
By Securities Docket on May 13, 2014, 10:50 am
Last week, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert announcing its Cybersecurity Initiative. What does this mean to broker-dealers and investment advisers and, even if you are not one of the “chosen 50,” what should your firm be doing? via SEC Cybersecurity Initiative: Five Steps ALL […]
By Securities Docket on May 13, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for May 12, 2014.
By Securities Docket on May 13, 2014, 8:15 am
The Securities and Exchange Commission scored a victory on Monday as a jury said the wealthy Wyly brothers committed civil fraud using a complex web of offshore trusts to hide stock sales and reap $550 million in profits. via Sam and Charles Wyly Found Liable In Civil Fraud Case – WSJ.com.