Ponzi scheme cases continue to be the new staple of the Enforcement Division. While they come in all sizes and shapes, the overriding feature of each is a promise of great returns and safety. The only great returns, of course, …

PONZI SCHEMES: THE NEW ENFORCEMENT STAPLE Read More »

For the last year, the SEC has been reinventing and rejuvenating itself. The Commission and the staff have been busy with new proposals new initiatives and reorganizations. Many of these proposals, programs and initiatives appear very positive. At the same …

WHERE IS THE SEC HEADING? Read More »