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Two thumbs up for David Smyth’s ‘Insider Trading Cartoon Series’ | Compliance Week

By Securities Docket on November 3, 2016, 11:19 am

Via this article in Bloomberg News, I was pleased to discover that former SEC enforcement attorney David Smyth, now a partner at North Carolina-based law firm Brooks, Pierce, McLendon, Humphrey & Leonard LLP, has developed a creative cartoon series that helps explain securities enforcement related issues. His work is “The Insider Trading Cartoon Series,” which is now a […]

Posted in SEC, Top | Tagged Cartoons, Insider Trading

SEC Probes Wells Fargo, Bank Ups Legal Reserves Fund – The New York Times

By Securities Docket on November 3, 2016, 9:24 am

Wells Fargo has confirmed the existence of an investigation by the Securities and Exchange Commission into its sales practices, and the bank revealed that it has almost doubled funds set aside to deal with its ongoing legal problems. via SEC Probes Wells Fargo, Bank Ups Legal Reserves Fund – The New York Times

Posted in SEC, Top | Tagged Investigations