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Join the Securities Litigation and Enforcement Group on LinkedInDodd-Frank Overhaul Could Spark Rebound in SOX Whistle-Blower Cases | Bloomberg BNA
Legislation to rewrite the Dodd-Frank Act is likely to be voted on in the House this week. But the overhaul envisioned in the Financial Choice Act could have one unintended consequence: a possible rebound in the number of SOX whistle-blower claims filed against companies. The Financial Choice Act would prevent the Securities and Exchange Commission […]
New SEC Enforce Chiefs See Cyber Crime as Biggest Market Threat – American Security Today
On Thursday, the U.S. Securities and Exchange Commission named Stephanie Avakian and Steven Peikin as new co-directors of enforcement. In an exclusive interview ahead of the formal announcement, the two said they were deeply concerned about cyber threats and see the topic as a major enforcement priority. “The greatest threat to our markets right now […]
Now, Your Financial Advisers Will Have to Put You First (Sometimes) – The New York Times
The fiduciary rule — which was created under the Obama administration and has, for now, survived efforts to quash it — takes partial effect on Friday. That means all types of financial advisers, including brokers and insurance agents, must put their customers’ interests ahead of their own financial motives, at least when handling customers’ retirement […]
SEC Names Stephanie Avakian and Steven Peikin as Co-Directors of Enforcement
The Securities and Exchange Commission today announced that Acting Director of the Division of Enforcement Stephanie Avakian and former federal prosecutor Steven Peikin have been named Co-Directors of the Division of Enforcement. The Division of Enforcement is the agency’s largest unit with more than 1,200 investigators, accountants, trial attorneys, and other professionals. via SEC Names […]