By Securities Docket on May 4, 2017, 9:07 am
Crucially, the settlement barred him from the securities industry, with the right to reapply after a year. But his attempts at readmission have been rejected. In February, an S.E.C. enforcement official told Mr. Wanger’s lawyer that his unit was going to recommend to the commission that Mr. Wanger remain barred. The reason: he had not […]
Posted in SEC, Top | Tagged Bars
By Securities Docket on September 11, 2013, 10:48 am
On September 5, 2013, the SEC quietly issued an Order stating that Spencer C. Barasch was reinstated to practice as an attorney before the Commission. The Order seems to bring to a conclusion an over eight-year saga in which Barasch went from being an associate district director for the SEC’s Division of Enforcement in its Fort […]
Posted in SEC, Top | Tagged Bars, Regulators
By Securities Docket on May 10, 2013, 9:42 am
Settlement would bar Falcone from serving as an investment adviser for two years.
Posted in SEC, Top | Tagged Bars, Hedge Funds, Settlements
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