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Browse: Home / Enforcement

Enforcement

SEC staffers fuming over Gensler self-promotion on Kardashian case

By Securities Docket on October 6, 2022, 8:03 am

Enforcement staffers, however, say the unveiling of the Kardashian case is a perfect example of Gensler’s limelight-seeking ways. There was no press conference with Gensler surrounded by the lawyers who worked the case. The press release and documents on the settlement were released on the SEC’s website on Monday at 7:30 am EDT; Gensler tweeted […]

Posted in SEC, Top | Tagged Enforcement

After the crypto crash comes the SEC crackdown – Vox

By Securities Docket on August 4, 2022, 8:10 am

But as investors’ losses mount and enforcers’ expanded crypto arms get to work, it looks like a day of reckoning is finally coming for some of these companies, which have been operating in a space with few rules. The outright scams, obviously, weren’t following the rules at all. But some of the more legitimate companies, […]

Posted in Criminal, SEC, Top | Tagged Cryptocurrency, Enforcement

Crypto’s nightmare scenario is here- POLITICO

By Securities Docket on July 29, 2022, 8:32 am

And in the months leading up to the petition, executives had been howling for more explicit SEC guidance, with the threat looming that the federal government would conclude much of the industry amounted to trafficking unregistered securities. ”That’s the Sword of Damocles over this trillion dollar industry,” said Jay Verret, professor of law at George […]

Posted in SEC, Top | Tagged Enforcement

It’s Time for the SEC to Overcome a Defensive Bureaucrats’ Approach | National Law Journal

By Securities Docket on July 21, 2022, 7:55 am

Too much time has been spent, in my view, over the last decade post-Madoff simply addressing a perceived survival risk, a defensive bureaucrats’ approach. The time is now for the agency to take back its place as chief regulator, policy maker and enforcer of our securities markets. And, as to enforcement, it means chasing more […]

Posted in SEC, Top | Tagged Enforcement

Alex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement

By Securities Docket on April 28, 2021, 5:06 pm

The Securities and Exchange Commission today announced that Alex Oh has resigned her position as Director of the Division of Enforcement for personal reasons. Melissa Hodgman will return to the role of Acting Director of the Division of Enforcement. Source: SEC.gov | Alex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement

Posted in People, SEC, Top | Tagged Enforcement

Patrick Bryan Named PCAOB Director of the Division of Enforcement and Investigations

By Securities Docket on December 18, 2019, 9:05 am

The Public Company Accounting Oversight Board today announced that Patrick Bryan has been named the PCAOB’s Director of the Division of Enforcement and Investigations. In this role, Mr. Bryan will advance the organization’s investigations and litigation of violations of PCAOB rules and other applicable securities regulations. *** Mr. Bryan currently serves as the Assistant General […]

Posted in Industry, People, Top | Tagged Enforcement, PCAOB

Mar. 1 Webcast: SEC Enforcement -- Current Developments and What’s Ahead for 2019

Mar. 1 Webcast: SEC Enforcement — Current Developments and What’s Ahead for 2019

By Securities Docket on February 13, 2019, 11:17 am

Please join Bill McLucas, Doug Davison, Marty Wilczynski and Steve Richards for this free webcast.

Posted in Industry, SEC, Top | Tagged Enforcement, Reviews, SEC, Webcasts

Can Hester Peirce Refocus The SEC On Its Real Job?

By Securities Docket on December 10, 2018, 5:09 pm

A closer look at Peirce’s public activities since she became Commissioner in January suggests that her opinion on this specific issue isn’t just a one-off. To the contrary, it reflects a larger deregulatory sensibility that has gladdened financial institutions and investors alike. For example, in those same remarks, Peirce warned the Commission against focusing on […]

Posted in SEC, Top | Tagged Enforcement

Will the SEC Drop Broken Windows Enforcement? — Financial Advisor IQ

By Securities Docket on December 20, 2017, 3:31 pm

In the Trump era, will the SEC’s enforcement division continue to pursue its “no broken windows” policy — which calls for its prosecution of minor infractions by institutions and individuals? Lawyers warn advisors to heighten their senses over the watchdog’s enforcement activities. via Financial Advisor IQ – Will the SEC Drop Broken Windows Enforcement?

Posted in SEC, Top | Tagged Enforcement

Signs of a Step Back in Financial Regulatory Enforcement – The New York Times

By Securities Docket on February 22, 2017, 3:17 pm

Enforcement often relies on the presence of people with the authority to issue punishments, so cutting back is not so much a matter of changing the law as having fewer cops on the beat. We may be seeing the beginning of that kind of shift away from enforcement as President Trump’s administration works to roll […]

Posted in SEC, Top | Tagged Enforcement

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