‘Enforcement 40’ for 2020
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By Securities Docket on October 6, 2014, 9:23 am
Emily P. Gordy has joined law firm Shulman Rogers from FINRA, where she was Senior Vice President of Enforcement.
By Securities Docket on October 6, 2014, 8:39 am
The Securities and Exchange Commission has seen a “significant jump” in the number of enforcement actions involving financial fraud and issuer disclosures over the past year, Chairman Mary Jo White said Oct. 1. White ascribed the increase to “new approaches and efforts” being undertaken by the SEC’s Financial Reporting and Audit Task Force, which was […]
By Securities Docket on October 6, 2014, 8:37 am
U.S. District Judge Paul Oetken in Manhattan certified a class action as to JPMorgan’s liability but not as to damages, saying it was unclear how investors could value the certificates they bought, given how the market was “not particularly liquid.” He said the plaintiffs could try again to certify a class on damages. via JPMorgan […]
By Securities Docket on October 6, 2014, 8:35 am
As the big-name enforcement cases from the financial crisis draw to a close, the Securities and Exchange Commission has the “luxury” of freedom to tackle a wide variety of enforcement issues, its enforcement chief says. via Facing No Urgent Crises, SEC ‘Spreads Its Wings’ — Think Advisor
By Securities Docket on October 6, 2014, 8:33 am
If the SEC rules in their favor, the investors could seek a portion of the $602 million the SEC collected in a settlement from a division of SAC Capital Advisers after former portfolio manager Mathew Martoma was caught trading on secret tips. It would be the SEC’s largest payout ever to insider trading victims. The […]