Month: March 2011

The SEC obtained an emergency order halting the diversion of settlement payments from the Receiver of the Tom Petter’s Ponzi schemes. The money was intended to compensate defrauded investors of the feeder funds. The man who operated the feeder funds …

SEC HALTS FRAUDSTER’S EFFORT TO DIVERT SETTLEMENT FUNDS Read More »

For the last two years the SEC has retooled the enforcement program which is critical to its mission. One goal has been more efficient, effective and speedier investigations. Since concluding the reorganization of the division the Commission has touted the …

IS THE SEC ENFORCEMENT PROGRAM MORE EFFICIENT AND EFFECTIVE? Read More »