Year: 2012

The SEC partially prevailed in a proceeding brought against the Securities Investor Protection Corporation or SIPC. The Court agreed with the Commission that the appropriate manner in which to seek an order compelling SIPIC to file an application for a …

A SPLIT DECISION FOR THE SEC ON ITS SIPIC APPLICATION Read More »

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The Commission has reportedly settled one of its earliest and most high profile market crisis cases, the action against former Bear Stearns fund managers Ralph Cioffi and Matthew Tannin. SEC v. Cioffi, Case No. 08-2457 (E.D.N.Y. Filed June 19, 2008). …

SEC SETTLES WITH FORMER BEAR STEARNS FUND MANAGES Read More »

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