Month: November 2012

The SEC prevailed in a pair of litigated cases this week. First, in SEC v. EagleEye Asset Management, LLC, Civil Action No. 11-CV-11576 (D. Mass.) a jury returned a verdict in favor of the Commission and against registered investment adviser …

SEC Prevails in Two Cases Read More »

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Mary L Schapiro, one of the longest serving SEC Chairman, announced her resignation, effective December 14, 2012. Ms. Schapiro’s action has been long rumored. The White House immediately appointed Commissioner Elisse Walter as Chairman, a position she can hold over …

SEC Chairman Schapiro Resigns, Leaving a Legacy of Achievement Read More »

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