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Posted on 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 »

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Posted on 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 »

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