‘Enforcement 40’ for 2020
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By Securities Docket on September 6, 2017, 7:56 am
The claim that the Securities and Exchange Commission gets a big boost from bringing enforcement actions before its own administrative law judges has become a matter of lore, at least among the members of the securities defense bar. A decision issued last week by an in-house judge in the case of Barbara Duka, a former […]
By Securities Docket on September 6, 2017, 7:54 am
One concern for the SEC relates to a rise in cases of information being stolen by hackers to gain some sort of market advantage, said Stephanie Avakian, co-director of the SEC’s enforcement division, who joined Clayton on the panel along with co-Director Steven Peikin. Other areas of focus include ensuring financial firms take the appropriate […]