Capital Hill continued to debate market reform this week with the introduction of the Volker Rule bill in the Senate. SEC enforcement focused on resolving financial fraud and Ponzi scheme cases, while the appellate section at FINRA reversed a panel …

THIS WEEK IN SECURITIES LITIGATION (March 12, 2010) Read More »

Nobody will ever claim that, once on the trail, the SEC is not persistent. Nine years after the complaint was filed, and following an acquittal on parallel criminal charges, attorney Jay Lapine settled fraud and books and records charges with …

PERSISTENCE YIELDS THE SEC A SETTLEMENT WITH A LAWYER Read More »