Search for: "SEClaw Staff"
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21 Mar 2009, 5:19 am
Bancorp.Morgan Stanley staff gets paid salary plus bonus. [read post]
21 Jul 2017, 12:58 pm
As a result, a number of foreign banking entities, foreign government officials, and other market participants have expressed concern about possible unintended consequences and extraterritorial impact.The staff of the agencies are considering ways in which the implementing regulations may be amended, or other appropriate action may be taken. [read post]
12 Aug 2015, 7:00 am
The press release is online at http://www.sec.gov/news/pressrelease/2015-163.htmland the complaint is at the commission’s web site at http://www.sec.gov/litigation/complaints/2015/comp-pr2015-163.pdf.I have been involved in cases involving allegations of computer fraud, and trading on undisclosed earnings announcements in the past in the URL Guessing cases, but that was more of a misunderstanding on the part of the SEC Staff and the sloppiness of the issuers, than an organized… [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]
23 Jul 2019, 11:27 am
“I am truly honored and excited to continue working with this outstanding team in my new role, and I look forward to helping support the many dedicated and talented staff in the Division of Trading and Markets and across the Commission who are carrying out tremendous responsibilities every day for the benefit of our capital markets and investors. [read post]
9 Mar 2016, 8:09 am
SEC enforcement staff on the case can be reached at LA4238@sec.gov.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
29 Apr 2019, 1:10 pm
In efforts to hide Meli's role, Siniscalchi allegedly instructed staff not to include Meli on emails to investors, and referred to Meli as "Keyser Soze," in reference to a fictional movie character from the movie The Usual Suspects who secretly operated as a crime kingpin. [read post]
10 Mar 2016, 10:13 am
Kelly attended law school while working as an examiner and he joined the Enforcement Division following graduation and served as a staff attorney and senior counsel. [read post]
16 Sep 2013, 8:05 am
“Our examination and enforcement staff aggressively pursue investment advisers who flout the registration provisions of the securities laws for their personal gain, especially those who attempt to cover up their misdeeds by flat-out lying to our examiners. [read post]
2 May 2019, 2:06 pm
Aderton joined the SEC in 2008 as a staff attorney in the Division of Enforcement. [read post]
15 Aug 2017, 8:08 am
KPMG and the engagement partner John Riordan failed to properly assess the risks associated with accepting Miller Energy as a client and did not properly staff the audit, which overlooked the overvaluation of certain oil and gas interests that the company had purchased in Alaska the previous year. [read post]
11 Sep 2017, 9:31 am
”MSRB Executive Director Lynnette Kelly said, “This program is consistent with the MSRB’s goal of assisting municipal advisors in understanding and complying with their regulatory obligations, and municipal advisors will benefit from getting first-hand feedback from our staff. [read post]
12 Mar 2019, 9:58 am
In addition to paying more than $6 million in disgorgement and prejudgment interest, Lumber Liquidators agreed to cease and desist from future violations of the charged provisions and cooperate fully with any further investigation, litigation or other proceeding by the Commission staff relating to this matter.In a parallel criminal action filed today, Lumber Liquidators entered into a deferred prosecution agreement with the Justice Department’s Fraud Section and the U.S. [read post]
7 Jun 2016, 10:35 am
” Among the companies’ actions outlined in the NPAs:Reported the situation to the SEC on their own initiative in the early stages of internal investigations.Shared detailed findings of the internal investigations and provided timely updates to enforcement staff when new information was uncovered.Provided summaries of witness interviews and voluntarily made witnesses available for interviews, including those in China.Voluntarily translated documents from Chinese into… [read post]
28 Sep 2016, 12:54 pm
Norberg said, “It has been an honor serving in the roles of deputy and acting chief and working with staff extremely dedicated to the mission. [read post]
29 Jan 2016, 7:34 am
Presentation on Customer Issues by SEC staff 1:10 p.m. [read post]
2 Jun 2016, 10:56 am
“I look forward to working with staff across the agency to enhance our risk-based approach to cybersecurity policy. [read post]
19 Jul 2013, 3:15 pm
Those two statements are very different, but undoubtedly intended by the Staff to imply that Cohen knew it was inside information.Clearly that is not the case, or this would not be an administrative proceeding. [read post]
25 Mar 2019, 2:06 pm
He will report directly to Chairman Clayton and will work closely with staff across the agency, including in the Divisions of Trading and Markets, Investment Management, and Economic and Risk Analysis, and the Office of Compliance Inspections and Examinations, among others. [read post]
