SEC Enforcement Director Robert Khuzami officially resigned yesterday, a move which has been widely rumored in the press in recent weeks. Mr. Khuzami served as Enforcement Director for nearly four years, compiling a record of leadership and achievement. Appointed by …
Tag: Enforcement
THIS WEEK IN SECURITIES LITIGATION (November 18, 2011)
The SEC’s Division directors reported to Congress this week on the progress of the reforms at the Commission. SEC Enforcement brought an investment fund fraud action this week centered on luring investors with the prospect of acquiring pre-IPO shares of …
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Tagged with: ARS, class certification, clawback, Enforcement, investment fund fraud, segregation of funds, suitability, window dressing