‘Enforcement 40’ for 2020
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By Securities Docket on May 4, 2017, 9:07 am
Crucially, the settlement barred him from the securities industry, with the right to reapply after a year. But his attempts at readmission have been rejected. In February, an S.E.C. enforcement official told Mr. Wanger’s lawyer that his unit was going to recommend to the commission that Mr. Wanger remain barred. The reason: he had not […]
By Securities Docket on May 4, 2017, 9:05 am
By promising anti-retaliation protection and offering the prospect of significant monetary awards, the U.S. Securities and Exchange Commission whistleblower program incentivizes individuals to come forward in an effort to ferret out securities law violations. While the SEC has touted the program as a success, certain aspects have sparked on-going debate within the legal and business […]