Month: September 2006

SEC Brings An Action Against Another GC

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

Senate Testimony on Insider Trading by SEC Staff

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