The SEC faces a variety of issues in protecting U.S. investors in the capital markets of this country. Other regulators in this country and abroad face similar issues in protecting investors. A sample of recent actions from other regulators includes: …
Tag: FINRA
THIS WEEK IN SECURITIES LITIGATION (Week ending February 3, 2012)
Former Farris Baker Watts General Counsel Ted Urban finally prevailed in his long running battle with the SEC to clear his name and reputation. The Commission, on an evenly divided vote, affirmed the initial decision of the Administrative Law Judge, …
THIS WEEK IN SECURITIES LITIGATION (Week ending February 3, 2012) Read More »
Tagged with: failure to supervise, FCPA, financial fraud, FINRA, FSA, Insider trading, Ponzi scheme, secactions