SEC Associate Director of Enforcement Conte Leaving to Join Law Firm
Posted by The PIPEs Report on August 30, 2010
Christopher Conte, an associate director of the Securities and Exchange Commission's enforcement div…
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SEC Names Ramsay as Deputy Director, Division of Trading and Markets
Posted by The PIPEs Report on
John Ramsay was named deputy director of the Securities and Exchange Commission's Division of Tradin…
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Group Siphoned Millions from American Environmental Investors, SEC Says
Posted by admin on August 5, 2010
The Securities and Exchange Commission has filed a complaint alleging fraud against Joe Porche, Larr…
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SEC to open up proxy access: report
Posted by Reuters: Business News on
NEW YORK (Reuters) – The U.S. Securities and Exchange Commission is expected to pass a proxy access rule that would give large shareholders the right to directly nominate directors on corporate ballots alongside the company’s choices, with the cost being borne by the company, the Wall Street Journal said.
SEC Names Martens to Replace Mejia as Chief Litigation Counsel
Posted by The PIPEs Report on August 4, 2010
The Securities and Exchange Commission named Matthew Martens chief litigation counsel of the divisio…
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Reform Launches Hedge Fund Regulation
Posted by The PIPEs Report on
Five years ago, when hedge fund managers fought the Securities and Exchange Commission's ill-fated e…
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SEC Names Martens to Replace Mejia as Chief Litigation Counsel
Posted by The PIPEs Report on August 2, 2010
The Securities and Exchange Commission named Matthew Martens chief litigation counsel of the divisio…
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SEC Puts Genet on Canvas over China Energy
Posted by admin on July 30, 2010
The Securities and Exchange Commission won a judgment against Jason Genet, an Arizona-based agent fo…
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Citigroup to pay $75 million to settle SEC charges
Posted by Reuters: Business News on
NEW YORK (Reuters) – Citigroup Inc will pay $75 million to settle charges that it failed to disclose subprime exposure to investors in 2007, the U.S. Securities and Exchange Commission said on Thursday.
SEC charges Wyly brothers with $550 million fraud
Posted by Reuters: Business News on
NEW YORK (Reuters) – The Securities and Exchange Commission charged billionaire Samuel Wyly and his brother Charles with fraud for reaping more than $550 million of illicit gains by trading stock in four companies while they were serving as directors.
