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Photos and Highlights from Securities Enforcement Forum 2014
Video and photo highlights from Securities Enforcement Forum 2014.
Securities Docket Announces Inaugural Class of ‘Enforcement Hall of Fame’ | Compliance Week
At the conclusion of Securities Enforcement Forum 2014 last week, Securities Docket announced the eight members of the inaugural class of its “Enforcement Hall of Fame.” The Enforcement Hall of Fame honors the lawyers who have made the “most extraordinary contributions to, and impact upon, the field of securities enforcement over their lifetimes.” via Securities […]
Enforcement Hall of Fame: Hon. Stanley Sporkin
“Judge Stanley Sporkin was the SEC’s second Director of Enforcement and the second-longest-tenured Director, serving for seven years. Those who practiced before him at the SEC know him as a compassionate Director who often looked for ways of getting a just result while still having compassion for the individuals and entities he ultimately sued. In order […]
Enforcement Hall of Fame: Hon. Irving Pollack
“Irv Pollack was the SEC’s first Director of Enforcement and the only individual to ever serve as Director of the Divisions of Enforcement and Market Regulation and to then go on to serve as a Commissioner. He set the standard for collaboration between the Divisions. He led the effort to dismantle the silos between the […]
Enforcement Hall of Fame: Hon. Harvey Pitt
“Harvey Pitt is a great example of how a gifted staff member can rise through the ranks of the SEC and one day become Chairman. It is extraordinary to imagine that he was the SEC’s General Counsel at age 30 – the youngest GC in the agency’s history. Later, as Chairman, he had was put […]
Enforcement Hall of Fame: Hon. Brenda Murray
“Brenda Murray is the longest-serving Administrative Law Judge at the SEC, where she has served as Chief Judge since 1994 and gained a reputation as a fair jurist with an unbiased record. Known for possessing great integrity, she has handled many highly-sensitive matters at the SEC. In an unusual situation in 2008, Judge Murray cleared […]
Enforcement Hall of Fame: William McLucas
“Bill McLucas is the longest-tenured Director in the history of the Division of Enforcement. Today he sits atop one of the most formidable SEC defense practices in history, perfectly structured to go toe-to-toe with the subject matter experts and investigative hierarchy at the SEC. He has been referred to as the ‘Babe Ruth’ of Enforcement Practitioners.” […]
Enforcement Hall of Fame: Gary Lynch
“Gary Lynch served as Director during the golden years of the Division of Enforcement. He transformed the pursuit of those who traded on inside information into the hottest area at the SEC and institutionalized the need for market integrity. His pursuit of Boesky and Milken was the inspiration for the critically-acclaimed movie, Wall Street. After he […]
Enforcement Hall of Fame: Hon. Roberta Karmel
“Roberta Karmel was the first female Commissioner in the SEC’s then-43 years of existence, serving from 1977 to 1980. Today, she is well known for her prolific writing and commentary in the field. Roberta Karmel is another example of a gifted staff member who rose through the ranks to one day serve on the Commission. […]
Enforcement Hall of Fame: Ralph Ferrara
“Ralph Ferrara served as SEC General Counsel from 1978 to 1981, and prior to that served as Chief of Staff and Special Counsel to three Chairmen. As General Counsel, he argued four cases before the United States Supreme Court, more than any other agency GC before or since. Since leaving the agency, there are few […]