‘Enforcement 40’ for 2020
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By Securities Docket on August 4, 2018, 11:42 am
Brokerages have been peppered in recent weeks with questions from Securities and Exchange Commission examiners about their business practices and how they deal with clients, according to one of the people, who requested anonymity to discuss the review. Among other things, the SEC is seeking specific information about fees generated from trading, financing and initial […]
By Securities Docket on August 4, 2018, 11:40 am
The Securities and Exchange Commission has dropped its probe into whether ExxonMobil misled investors about climate change, the latest blow to the environmental movement’s bid to pin global warming on the oil-and-gas industry. via SEC drops Exxon climate-change probe in latest blow to #ExxonKnew campaign – Washington Times.
By Securities Docket on August 4, 2018, 11:38 am
Scores of Bernard Madoff’s former customers are pushing for access to a massive database of trading records and other documents seized from the con man’s now-defunct securities firm to advance a fringe theory about the epic fraud: It wasn’t a Ponzi scheme. Bizarre though it sounds, there’s a reason why they’re advancing the claim: If […]