On September 26, 2006 the Commission’s Division of Enforcement announced a cease-and-desist proceeding against Scott G Monson, former general counsel of J.B. Oxford Holdings, Inc. (JBOH), and its wholly owned broker-dealer firms, J.B. Oxford & Co. and National Clearing Corporation …

SEC Brings An Action Against Another GC Read More »

On September 26, 2006 SEC Enforcement Director Linda Thomsen told the Senate Committee on the Judiciary that insider trading remains a priority for the Division. Ms Thomsen pointed out in her testimony that since 2001 the agency has brought 300 …

Senate Testimony on Insider Trading by SEC Staff Read More »