Year: 2015

The SEC has long sought to enlist professionals as the advance guard of its Enforcement Division. The point is understandable: auditors, attorneys and other professional consultants are typically at the company long before Commission investigators and often have a better …

The SEC, Gatekeepers and Saying Something Read More »

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The SEC and the U.S. Attorney’s Office for the District of Connecticut charged three senior traders with fraud by misrepresenting pricing information to clients regarding securities traded in opaque markets. In those markets clients often rely on the trader for …

SEC Charges Three RMBS Traders With Lying To Clients Read More »

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