‘Enforcement 40’ for 2020
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By Securities Docket on October 30, 2020, 11:28 am
A former OppenheimerFunds IRA account holder sued the since-absorbed company, as well as custodian Pensco, for failing to stop a fraudster from stealing nearly $200,000 from his account, court documents show. OppenheimerFunds allegedly gave the thief clearance to transfer assets after he posed as account holder Michael Eckenwiler, even though he used an incorrect middle […]
By Securities Docket on October 30, 2020, 9:27 am
John Berry, a partner at Munger, Tolles & Olson LLP, a former SEC attorney that served on the enforcement staff from its Los Angeles office, has provided some perspective on Kik’s settlement with the SEC. While at the Commission, Berry supervised over 100 investigations that led to more than 40 litigated or settled cases so […]