Month: May 2011

Earlier this month Commission officials testified on Capitol Hill regarding the failure of the agency to investigate the alleged Stanford Ponzi scheme at an earlier date. Lawmakers were assured that a series of steps have been taken to preclude a …

A TALE OF TWO INVESTMENT FUND CASES Read More »

This is the final installment in a series of articles that has been published periodically analyzing the direction of SEC enforcement. The Division of Enforcement is critical to the overall mission of the SEC. To bring a new ethics to …

SEC ENFORCEMENT TRENDS 2011: Analysis and Conclusions Read More »