Year: 2018

The Impact of Compliance –Another Reversal For a Jefferies Trader

The key role of compliance threads through the continuing saga of Jefferies & Co. trader Jesse Litvak as well as a series of similar cases. Mr. Litvak is one of a number of traders who were indicted by the U.S.

Tagged with: , , ,

This Week In Securities Litigation (Week ending May 11, 2018)

Speeches were key this week. Steven Pelkin, Co-Director of the SEC’s Enforcement Division delivered remarks focused on the Wells process, offering suggestions for defense counsel. Deputy Attorney General Rod Rosenstein delivered two speeches in on day discussing new policies in

Tagged with: , , ,