‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSEC Lodges ‘Failure to Supervise’ Charge Against SAC’s Cohen, Will Seek Industry Bar – Compliance Week
On Friday, the SEC became the first securities enforcer to go after SAC’s Steve Cohen, charging that Cohen failed to supervise two senior employees and prevent them from engaging in insider trading. Will Preet Bharara and the SDNY be next? via SEC Lodges ‘Failure to Supervise’ Charge Against SAC’s Cohen, Will Seek Industry Bar – […]
SEC Charges Eight Mutual Fund Directors for Failure to Properly Oversee Asset Valuation
SEC alleges funds fraudulently overstated the value of their securities as the housing market was on the brink of financial crisis in 2007.
Broker-Dealer Lawyer Who Spotted Fraud Rewarded With Five-Year SEC Ordeal
Five year case ended Jan. 26, when SEC dismissed the matter without an opinion.
SEC’s Gallagher: Supervisor Definition Remains ‘Disturbingly Murky’
SEC commissioner calls for “clearer guidance” on the issue.