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‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInFlorida lawyer pleads guilty in insider trading case –Reuters
A Florida lawyer accused by U.S. prosecutors of engaging in a nearly $1 million insider trading scheme using information he improperly obtained from his law firm’s databases pleaded guilty on Thursday, prosecutors said. via Florida lawyer pleads guilty in insider trading case –Reuters
The SEC and ICOs: Winter is Coming . . . | John Reed Stark, LinkedIn
For the embryonic, novel and crazed ICO marketplace, Winter is coming. But not in its traditional form, rather in the form of a swift, steady and relentless U.S. Securities and Exchange Commission (“SEC”) dragnet. For those scratching their heads, “Winter Is Coming” is the motto of House Stark, one of the Great Houses of Westeros […]
SEC Creating Searchable Database of Bad Brokers — Think Advisor
The Securities and Exchange Commission is creating a website that will contain “a searchable database of individuals” who have been barred or suspended as a result of federal securities law violations, the agency’s chairman, Jay Clayton, said Wednesday. “This resource is intended to make the prior actions of repeat offenders and fraudsters more visible to […]