Year: 2011

DOES THE SEC NEED AUTHORITY TO IMPOSE LARGER FINES?

Does the SEC need authority to impose larger civil penalties? SEC Chairman Mary Schapiro recently told Congress the agency needs additional authority to impose large fines. The story broke in the press the day Judge Rakoff issued his order rejecting

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THIS WEEK IN SECURITIES LITIGATION (December 9, 2011)

The collapse of MF Global was a key topic on Capital Hill this week. Lawmakers heard testimony from the former chairman of the firm as well as FINRA. In other congressional hearings the SEC Enforcement Director told a committee that

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