‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInBrokers’ Cryptocurrency Deals Are Focus of SEC Review – Bloomberg
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 […]
SEC drops Exxon climate-change probe in latest blow to #ExxonKnew campaign – Washington Times
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.
Madoff Ponzi deniers seek records to shield their $100 million | Crain’s New York Business
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 […]