Fairness, and the appearance of fairness, is critical for regulators and law enforcement officials. This helps foster respect for the law which in turn encourages cooperation with enforcement officials and compliance. In contrast, actions which are unfair, or appear to …

THE GUPTA CASE: EFFECTIVE LAW ENFORCEMENT BEGINS WITH FAIRNESS Read More »

Janney Montgomery Scott LLC, a registered broker dealer, settled an administrative proceeding which allegated that it failed to maintain and enforce policies reasonably designed to prevent the misuse of material, nonpublic information. In the Matter of Janney Montgomery Secott LLC, …

JANNEY SECURITIES SANCTIONED FOR INADEQUATE PROCEDURES Read More »