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6 Dec 2011, 10:57 am
” Risk AlertRegulatory NoticeSEC Staff and FINRA Issue Risk Alert on Broker-Dealer Branch Office InspectionsSEC Staff and FINRA Issue Risk Alert on Broker-Dealer Branch Office Inspections [read post]
25 Jan 2012, 10:29 am
The SEC announced that a Texas-based former audit partner at accounting and consulting firm BDO USA LLP has pled guilty to criminal charges for lying to SEC enforcement staff during investigative testimony. [read post]
3 Aug 2009, 4:00 am
The Guide, authored by Professor Jill Gross, the Director of the school's Investor Rights Clinic, and Clinic Staff Attorney Alice Oshins, is designed to help individual investors with modest investment accounts. [read post]
15 Oct 2009, 8:52 am
A Wells Notice is a device used by the SEC to advise a prospective defendant that the Staff is going to make a recommendation to the Commission to commence proceeding. [read post]
14 Apr 2011, 6:02 am
While the type and frequency of enforcement cases that are filed are largely under the control and selection of the SEC Staff, there have been a rash of insider trading cases in recent weeks.Yesterday the SEC charged a former hedge fund portfolio manager with insider trading in a bio-pharmaceutical company based on confidential information about negative results of the company’s clinical drug trial.The SEC alleges that Dr. [read post]
12 Mar 2009, 10:46 am
Either way, with only one billion having been recovered, there is much more work for the Trustee and the SEC staff to do to identify, and recover those assets.With no plea agreement, we can expect the Trustee to attempt to attach the rest of Madoff's assets, and to go after the assets that are in his wife's name. [read post]
2 Mar 2009, 1:10 am
According to the article, he was absent during the discussions and bailout of Bear, he let Commissioner Atkins run loose, his policy that required staff to seek permission to seek penalties demoralized the agency.I am not so sure that we can lay the entire blame for the SEC's failures at the feet of Chairman Cox, but Time sure gives it a try. [read post]
30 Mar 2010, 8:18 am
Upfront - this piece is a bit unfair, but the allegations are amazing. [read post]
7 Dec 2009, 8:00 am
There is a difference, and those millions of dollars would be better spent hiring staff and investigators so that exams and enforcement actions don't take years and years to complete. [read post]
29 May 2012, 6:00 am
At the same time, Martens’ trial unit staff has stayed relatively flat at about 36. [read post]
22 Mar 2010, 9:47 am
We can help your firm, and staff, understand the use of social media, create procedures to deal with these new communication tools, and implement those procedures to avoid costly exams and fines down the road.More>>> [read post]
28 Jan 2011, 3:28 pm
The PPMs were then produced to the SEC’s examination and enforcement staff. [read post]
30 Jan 2011, 9:45 am
The PPMs were then produced to the SEC’s examination and enforcement staff. [read post]
30 Jan 2011, 5:51 am
The PPMs were then produced to the SEC’s examination and enforcement staff. [read post]
21 Mar 2009, 5:19 am
Bancorp.Morgan Stanley staff gets paid salary plus bonus. [read post]
16 Sep 2009, 11:18 am
Let's face it, they simply do not have the funds or staff to meet their obligations. [read post]
9 Dec 2009, 6:08 am
Let's just hope that this swiftness is the result of increased market survelliance, retention of experienced and motivated staff and an renewed vigor, and not the result of a rush to judgment and press releases without evidence or foundation. [read post]
31 Jul 2012, 1:45 pm
When represented by counsel, FINRA respondents were successful almost 20% of the time.Nearly 1/3 of the time, the administrative law judge (ALJ) or the Hearing Panel imposed lower monetary sanctions than the SEC or FINRA prosecutors sought.In FINRA hearings, 50% of the time Hearing Panels imposed shorter suspensions and 33% of the time Hearing Panels imposed lower monetary sanctions than those sought by FINRA staff. [read post]
18 Mar 2011, 6:20 am
On more than one occasion I have been able to demonstrate to the Staff that my client was an active trader, and that he simply made the correct trade at the correct time, or that he had been following the stock and purchased it when he did because of various public information that he obtained, and could demonstrate that he had at the time of the purchase.If there is any doubt about what I am saying, all one needs to do is to search the SEC press releases for the term "insider trading. [read post]
26 Oct 2009, 7:50 am
If you staff the branch properly, a BOM can service his own clients while running a branch. [read post]
