‘Enforcement 40’ for 2020
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By Securities Docket on October 31, 2016, 10:13 am
California will recover $15 million related to the vast Ponzi scheme engineered by Bernard Madoff as part of an agreement liquefying the $277 million estate of a Beverly Hills investment adviser, officials said on Friday. via California Wins $15 Million From Madoff-Tied Settlement – The New York Times
By Securities Docket on October 31, 2016, 9:41 am
Although 2016 was a big payout year for whistleblowers who provided information to the U.S. Securities and Exchange Commission’s (“SEC”) Whistleblower Program, 2017 is projected to be even bigger. via SEC Whistleblower Awards Expected to Rise in 2017
By Securities Docket on October 29, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for October 28, 2016.
By Securities Docket on October 28, 2016, 5:26 pm
SEC Chair White has reportedly been asked by both the Clinton and Trump campaigns if she will consider staying on until her successor is in place. Congress’ failure to act on two existing commissioner vacancies on the five-person SEC has further raised the stakes on this decision. via Will SEC Chair White stay at agency […]
By Securities Docket on October 28, 2016, 8:57 am
The U.S. Securities and Exchange Commission has released a collection of internal voting records, long held secret, that reveal it to be less divided than is commonly thought. The new data reveal that the agency’s commissioners vote unanimously almost every time they take companies and executives to federal court, in contrast to the public and […]
By Securities Docket on October 28, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for October 27, 2016.
By Securities Docket on October 28, 2016, 8:53 am
I refer of course to Elizabeth Warren, our senior senator and, as it were, the nation’s unelected regulatory czar. Ms. Warren’s latest provocation was to send a letter to President Obama this month demanding the removal of Mary Jo White, chairwoman of the Securities and Exchange Commission. Ms. White, she said, had demonstrated her unsuitability […]
By Securities Docket on October 27, 2016, 9:09 am
Patriarch Partners founder Lynn Tilton is a character but she’s no fraud, her lawyer told an SEC judge at the start of a trial over claims that the firm misled investors about the value of assets backing three debt funds worth $2.5 billion. via Patriarch Partners’ Tilton battles SEC as fraud trial begins – Bloomberg
By Securities Docket on October 27, 2016, 8:53 am
The Securities and Exchange Commission’s ill-defined and unsettled legal definition of insider trading is making it harder for advisors to understand how to comply with the rule—and advisors’ misunderstanding is likely resulting in more SEC enforcement actions. via SEC’s Sketchy Insider Trading Definition Sparks Enforcement Actions — ThinkAdvisor