Year: 2011

The Inspector General for the SEC issued another report on a pending enforcement action. This time the report concerned allegations of staff misconduct relating to the hotly contested enforcement action against Dallas Maverick‚Äôs owner Mark Cuban. SEC v. Cuban, Civil …

THE SEC INSPECTOR GENERAL SHOULD FOCUS ON ITS MISSION Read More »

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Current market volatility was addressed this week when the Commission announced that the exchanges and FINRA would be filing updated circuit breaker rules. In addition, the staff issued an Alert regarding the use of sub-accounts in market manipulations, money laundering, …

THIS WEEK IN SECURITIES LITIGATION (September 30, 2011) Read More »

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