• Home
  • About
  • Webcasts
  • ‘Enforcement 40’ for 2020
  • Enforcement Hall of Fame
  • Contact
Securities Docket
Ankura 480x60
  • Class Actions
  • Criminal
  • Global
  • People
  • SD Insider
  • SEC
  • Video
  • Subscribe by email
  • Subscribe
Browse: Home / 2015 / August / 10 / A Win for Compliance Officers – Compliance Building

A Win for Compliance Officers – Compliance Building

By Securities Docket on August 10, 2015, 8:59 am

Judy Wolf did a bad thing. During an insider trading investigation she fudged some documents. The Securities and Exchange Commission investigated the insider trading matter and Ms. Wolf’s log of her review. The fudging was discovered. She was fired and the SEC brought an enforcement against her.

There is some good news from that bad situation. An administrative law judge just dismissed the enforcement case against Ms. Wolf.

via A Win for Compliance Officers – Compliance Building

Blog Widget by LinkWithin

Posted in SEC, Top | Tagged Compliance

« Previous Next »

‘Enforcement 40’ for 2020

Ankura 260x250

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2021 Securities Docket.

Powered by WordPress and Hybrid.