waivers – SEC ACTIONS

This Week In Securities Litigation (Week ending May 8, 2015)

Posted on May 07, 2015 by T. Gorman Posted in SECActions

The debate over waivers WKSI waivers and other similar provisions continued this week. The Commission granted a WKSI waiver to Deutsche Bank despite a guilty plea to criminal felony charges but only over the dissent of Commissioner Stein. The agency …

This Week In Securities Litigation (Week ending May 8, 2015) Read More »

Tagged with: financial fraud, investment fund fraud, secactions, waivers

WKSI Waivers For A Recidivist – And a Dissent By Commissioner Stein

Posted on May 05, 2015 by T. Gorman Posted in SECActions

The question of waivers from certain disqualifications under the securities laws which are triggered automatically in certain instances — such as on the entry of a guilty plea — continues to be a controversial topic at the SEC. Earlier this …

WKSI Waivers For A Recidivist – And a Dissent By Commissioner Stein Read More »

Tagged with: secactions, waivers, WKSI

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This Week In Securities Litigation (Week ending May 8, 2015)

WKSI Waivers For A Recidivist – And a Dissent By Commissioner Stein