Tag: ratings agencies

While the Commission continued to focus on conflicts in filing new actions, this time they did not center on an investment adviser. Rather, it was the Dodd-Frank provisions governing NRSROs. There Congress warned about the conflicts inherent in the process …

This Week In Securities Litigation (Week of June 27, 2022) Read More »

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Egan – Jones Ratings Company and Sean Egen, its founder and president, settled Commission administrative proceedings, ending months of contentious litigation. In the Matter of Egan-Jones Ratings Company, Adm. Proc. File No. 3-14856 (Jan. 22, 2013). The proceeding centered around …

Ratings Company, Founder Settle with SEC Read More »

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