Tag: Primary liability

The Supreme Court will hear a case which may have a significant impact on SEC enforcement. Specifically, the Court will consider the question of whether the agency can circumvent Janus Capital Group, Inc. v. First Derivate Traders, 564 U.S. 135 …

Supreme Court To Determine if SEC Can Circumvent Janus

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The Commission settled its market crisis based enforcement action against Kimon P. Daifotis, former Chief Investment Officer for Fixed Income for Schwab YieldPlus Fund. The case involving Mr. Daifotis was one of the first to apply the Supreme Court’s teachings …

Former Schwab Executive Settles With SEC Read More »

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