Search for: "SECLaw Staff"
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19 Jul 2013, 6:00 am
They provide an opportunity for the SEC staff to identify common issues found in related examinations or investigations and discuss industry practices, including how compliance professionals have addressed such matters.The Compliance Outreach Program was created to promote open communication on mutual fund, investment adviser, and broker-dealer compliance issues. [read post]
18 Jun 2013, 8:00 am
The first series of charges were brought in 2011.The attorneys at Sallah Astarita & Cox include former SEC staff attorneys and vetran securities litigators. [read post]
4 Apr 2013, 6:30 am
The SEC Staff considered that post to be a violation of Regulation FD. [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]
29 May 2012, 6:00 am
At the same time, Martens’ trial unit staff has stayed relatively flat at about 36. [read post]
27 Apr 2012, 7:00 am
That is a significant violation.Referencing FINRA's own Sanction Guidelines, the starting point for FINRA's Enforcement Staff when they bring a case says: impeding FINRA investigation, a fine of $2,500 to $50,000, PLUS a suspension of one month to two years. [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]
23 Dec 2011, 6:00 am
The employee also falsified financial statements filed with the SEC and other regulators, as well as materials that were prepared to deceive SEC staff examiners, federal and state tax auditors, and other external reviewers. [read post]
15 Dec 2011, 6:05 am
Its executives talk a good game, but they are terrible at getting their message down to the staff, who still, in far too many instances, treat brokers and firms as if they are criminals, conducting exams with a "gotcha! [read post]
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]
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]
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]
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]
28 Jan 2011, 3:28 pm
The PPMs were then produced to the SEC’s examination and enforcement staff. [read post]
30 Mar 2010, 8:18 am
Upfront - this piece is a bit unfair, but the allegations are amazing. [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]
10 Mar 2010, 2:33 pm
In the last year or so I have seen payout reductions by 50%, removal of all support staff, mysterious re-calculations of payouts, forced changes in business models, trumped up termination language and a host of other conduct designed to either fire the broker, or force him to leave.That conduct is resulting in more claims for constructive discharge, as well as breach of contract and related claims, all of which are starting to come to hearing in the next few months.I expect that we… [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]
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]
