‘Enforcement 40’ for 2020
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By Securities Docket on July 22, 2013, 1:05 pm
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 – […]
By Securities Docket on December 11, 2012, 7:42 am
SEC alleges funds fraudulently overstated the value of their securities as the housing market was on the brink of financial crisis in 2007.
By Securities Docket on March 20, 2012, 12:16 pm
Final decision by SEC leaves “supervisor” issue murky.
By Securities Docket on March 5, 2012, 3:24 pm
Five year case ended Jan. 26, when SEC dismissed the matter without an opinion.