Heading into a long holiday weekend the Chairman continued to fill out the senior staff of the agency. Peter Uhlmann, a staff veteran who has held several senior management positions, was appointed as Managing Executive in the Chairman’s Office. The …
This Week In Securities Litigation (Week ending May 26, 2017) Read More »
The Commission resolved an earlier action against a political intelligence firm that had ties to the Centers for Medicare & Medicate Services or CMS by requiring admissions, a cease and desist order and revamped compliance procedures. The Order asserted allegations …
SEC, USAO Charge Four With Insider Trading Tied to Political Intelligence Read More »