Month: May 2015

The question of waivers from certain disqualifications under the securities laws which are triggered automatically in certain instances — such as on the entry of a guilty plea — continues to be a controversial topic at the SEC. Earlier this …

WKSI Waivers For A Recidivist – And a Dissent By Commissioner Stein Read More »

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The SEC concluded its litigation with a father – daughter combination that solicited investors to purchase promissory notes based on representations that there would be risk free returns from forex trading. There were no returns, however, and most of the …

Father-Daughter Conclude Settlement With SEC Read More »

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