Search for: "SEClaw Staff" Results 121 - 140 of 223
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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]
9 Mar 2016, 11:41 am by Mark Astarita
“SEC enforcement staff continue to develop and refine analytical tools to uncover illicit trading activity and hold accountable those abusing the markets for their own financial gain,” said Joseph G. [read post]
16 Aug 2016, 10:37 am by Mark Astarita
  Health Net further agreed to certify to Enforcement Division staff that it has complied with this undertaking. [read post]
15 Mar 2019, 12:26 pm by Mark Astarita
  This action evidences the vigilance of the SEC’s exam and enforcement staff in identifying investments advisers that exploit client relationships and harm investors. [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 by Mark J. Astarita, Esq.
Upfront - this piece is a bit unfair, but the allegations are amazing. [read post]
7 Dec 2009, 8:00 am by Mark J. Astarita, Esq.
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 by Mark Astarita
At the same time, Martens’ trial unit staff has stayed relatively flat at about 36. [read post]
14 Aug 2014, 11:00 am by Mark Astarita
Most independent firms rely on the assistance of their in-house staffs as well as outside counsel such as my firm, for unique issues that arise, and in insuring that regulators understand the unique issues facing these firms.Larry Roth, the President of Cetera, a network of independent firms, has offered his thoughts on the future of the independent firm. [read post]
6 May 2015, 7:05 am by Mark Astarita
According to the article, the SEC staff has been consumed by writing rules for Dodd-Frank for the past four years, practically to the detriment of everything else, and it's not over, not by a long shot.Gallagher wants to spend more time on strengthening the trading system, but Dodd-Frank is taking up all the time.These are all hugely important things that are critical to the agency, but we're not spending time on them because we're doing silly rules like some of the ones… [read post]
31 Jul 2014, 10:00 am by Alexa Astarita
  During that period, Smith & Wesson’s international sales staff engaged in a pervasive effort to attract new business by offering, authorizing, or making illegal payments or providing gifts meant for government officials in Pakistan, Indonesia, and other foreign countries. [read post]
25 Aug 2016, 9:02 am by Mark Astarita
These records will be useful to the Commission’s examinations staff in evaluating adviser performance claim, and could reduce the incidence of misleading or fraudulent advertising and communications by advisers.The amendments will be published on the Commission’s website and in the Federal Register. [read post]
10 Oct 2014, 5:30 am by Mark Astarita
”For more information visit | SEC Staff Issue Risk Alert and FAQs on Customer Sales of Securities---The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
20 Sep 2017, 10:05 am by Mark Astarita
 Tom's significant industry experience and leadership prior to and at the SEC will be invaluable to the experienced and dedicated staff in the New York examination program. [read post]
29 Jun 2016, 9:25 am by Mark Astarita
  I have been privileged to work with numerous talented and dedicated staff members and contribute to the Commission’s important international work. [read post]
2 Aug 2017, 11:13 am by Mark Astarita
Esau will direct a staff of approximately 40 accountants, examiners, and attorneys responsible for the examination of broker-dealers, investment companies, investment advisers, and transfer agents across five southeastern states (Alabama, Georgia, North Carolina, South Carolina, and Tennessee). [read post]
19 Nov 2015, 6:00 am by SEClaw Staff
-based investment management firm agreed to pay $16.5 million to settle charges that it misled mutual fund investors and others with advertisements containing false historical performance data about AlphaSector, a major exchange-traded fund (ETF) portfolio strategy.SEC Announces Whistleblower Award of More Than $325,000The SEC announced a whistleblower award totaling more than $325,000 for a former investment firm employee who tipped the agency with specific information that enabled enforcement… [read post]
24 Jun 2019, 9:13 am by Astarita
  Office staff, among other things, review all documents submitted to the Commission, track documents submitted to the Commission, schedule Commission meetings in accordance with the Government in the Sunshine Act, maintain records of official Commission actions, and provide public notice of those actions on the website and in the Federal Register. [read post]
30 May 2019, 12:06 pm by Astarita
""It is an honor to continue to work on behalf of the agency and investors, and to lead the deeply talented and dedicated staff of the Office of the Chief Accountant," said Mr. [read post]