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‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInBillion-Dollar Retirement Scam: Who Ya Gonna Call? SEC, CFTC?
As a former SEC attorney with more than a little experience in whistleblower matters, I suspect I will soon learn, in connection with filing a whistleblower complaint on the above mentioned billion-dollar retirement scam, whether or not the SEC is truly monitoring tips that pose imminent harm to investors. But the larger point is, for the […]
The SEC’s Market Abuse Enforcement Priorities
Since January 2017, the SEC has quietly racked up at least half a dozen major enforcement actions charging a wide range of equity market structure violations. In these cases, dark pools, exchanges and broker-dealers have collectively paid more than $100 million in civil penalties and several of them have involved admissions of liability. Although the […]
No-loss hedge fund got sued by the SEC, then the shutdown hit – Pensions & Investments
The Meyer enforcement action highlights that in ways both big and small, the longest-ever government shutdown is making it difficult for federal agencies to do their jobs. At the SEC, a crucial responsibility is protecting investors from fraud. With the regulator’s staff shrinking to about 300 from more than 4,500, it’s all but stopped opening […]