‘Enforcement 40’ for 2020
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By Securities Docket on September 12, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for September 11, 2014.
By Securities Docket on September 12, 2014, 7:36 am
The Securities and Exchange Commission announced Wednesday that it had charged 34 people and companies for failing to file timely disclosures about their dealings in company stock. Nearly all the cases settled for fines of up to $150,000. While the SEC says these charges represent important violations on their own, they’re also part of a […]
By Securities Docket on September 12, 2014, 7:34 am
Lawmakers, in what has become something of a Washington ritual, criticized the Justice Department this week for not holding individual bankers to account for the financial crisis. So, the Justice Department has given the job to Godzilla. via Enron-Busting `Godzilla’ Aids Government’s Hunt for Crime – Bloomberg.