‘Enforcement 40’ for 2020
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By Securities Docket on October 21, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for October 20, 2014.
By Securities Docket on October 21, 2014, 8:43 am
Last week, the SEC issued a press release summarizing its enforcement results for the agency’s fiscal year 2014. The SEC noted a record 755 enforcement actions and highlighted numerous “first-ever” cases in FY 2014. via SEC Breaks Down FY 2014 Enforcement Results, Highlights | Compliance Week
By Securities Docket on October 21, 2014, 7:36 am
The Securities and Exchange Commission is increasingly steering cases to hearings in front of the agency’s appointed administrative judges, who found in its favor in every verdict for the 12 months through September, rather than taking them to federal court. via SEC Is Steering More Trials to Judges It Appoints – WSJ
By Securities Docket on October 21, 2014, 7:32 am
A real-estate developer who invested with Bernard Madoff agreed to return $32.75 million in cash and surrender $29.35 million in claims against the convicted Ponzi-scheme operator’s investment firm under a new settlement. via Madoff Trustee, Investor Strike Multimillion-Dollar Settlement – WSJ – WSJ