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Posted on by T. Gorman Posted in SECActions

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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Posted on by T. Gorman Posted in SECActions

The SEC is facing the latest challenge to the way it utilizes its Congressionally delegated authority. Specifically, credit rating firm Egan-Jones Rating Company and its founder and principal Sean Egan filed a complaint against the Commission claiming that it can …

EGAN-JONES SUES SEC TO HALT ADMINISTRATIVE PROCEEDING Read More »

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