‘Enforcement 40’ for 2020
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By Securities Docket on February 27, 2019, 10:01 am
The Securities and Exchange Commission’s (SEC) allegation that Tesla CEO Elon Musk is in contempt of the federal court that approved a settlement between Musk and the agency is highly unusual, the former SEC senior counsel Thomas Gorman told Business Insider. Being in contempt of court means either misbehaving in a courtroom or deliberately disobeying […]
By Securities Docket on September 3, 2015, 2:50 pm
Things looked like they couldn’t get much worse for an Apple day-trader sued by the SEC in February 2015 for a scheme that was allegedly quite audacious. But they just did. via From Bad to Worse for Apple Day-Trader Sued by SEC | Compliance Week.
By Securities Docket on January 23, 2014, 8:08 pm
It is a long and rarely-traveled road between receiving a subpoena for documents or testimony from the SEC and actually getting yourself arrested, but Anthony Coronati completed the journey down that road today when he was arrested by the U.S. Marshals Service. via SEC Subpoena Enforcement for Documents and Testimony Results in Rare Arrest – […]
By Securities Docket on January 25, 2010, 3:13 pm
SEC defendant sent to jail until he surrenders submarine and much more.