‘Enforcement 40’ for 2020
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By Securities Docket on December 1, 2020, 5:02 pm
CFP Board announced today the appointment of Thomas A. Sporkin to the newly created position of Managing Director, Enforcement. Sporkin will lead a team of attorneys and legal staff to modernize the detection, investigation and prosecution activities at CFP Board. Sporkin joins CFP Board on January 4, 2021, after decades of experience in enforcement activities […]
By Securities Docket on December 1, 2020, 12:22 pm
As Will Rogers famously quipped, when you find yourself in a hole, stop digging. The Securities and Exchange Commission recently learned this lesson the hard way in its long-running and ill-fated pursuit of New York-based stock trader Guy Gentile, who – unlike many others similarly situated – apparently had the resources, fortitude, and skilled legal […]