‘Enforcement 40’ for 2020
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Lawyer Accused of Options Backdating Says SEC Mishandled Millions of Documents
Defendant in SEC backdating options cases claims SEC has lost or destroyed 5 million pages of documents.
SEC IG Report Finds No Evidence of Improper Motive Behind Agency Destroying MUI Documents
IG finds “no evidence of an improper motive.”
No S.E.C. Inquiries Harmed by Document Destruction, Report Says
IG: No inquiries harmed but SEC should have kept thousands of documents it destroyed after preliminary investigations.
SEC accuses FINRA of altering internal documents
SEC claims FINRA altered internal documents before handing them over to agency.
Back to Reality: Debunking the SEC ‘Whitewash’ Theory
Is the SEC discarding closed MUI files to help whitewash Wall Street’s dirty laundry? Don’t bet on that.
SEC Shifts Tack on Document Destruction Amid Whistleblower Threat
SEC will “suspend the current policy out of an abundance of caution until a new policy is in place.”
Copy of Criminal Information Filed Against Frank DiPascali
A copy of the criminal information filed yesterday against Frank DiPascali is available here.