In what may signal a new enforcement priority, the SEC filed another Regulation FD case this week. SEC v. Presstek, Inc., Civil Action No. 10-1058 (E.D.N.Y. Filed March 9, 2010). Last year, the Commission brought its first Reg FD case …

REG FD – A NEW ENFORCEMENT PRIORITY? Read More »

A third settled administrative proceeding arising out of the churning of two Florida municipal accounts at First Allied Securities, Inc. was filed last week. This case was brought against the firm for failing to properly supervise the account executive. In …

FAILING TO SUPERVISE LARGE MUNICIPAL ACCOUNTS Read More »