Former prosecutor has been general counsel with Deutsche Bank for past five years
The U.S. Securities and Exchange Commission has hired an advisor to new chairman Mary Schapiro.The SEC announced Tuesday that Kayla Gillan has been named senior advisor to the chairman. At the commission Gillan will work for investors, leading multiple projects including the creation of an Investor Advisory Council, reconsidering access to the proxy, and evaluating […]
Ex-CFO fined US$500,000
Advisors sold investment by promising “improbable and unsubstantiated high interest rates”, regulator alleges
Regulator alleges schemes realized gains of US$21 million
Judgment imposes permanent injunction
The U.S. Securities and Exchange Commission announced Monday that Linda Chatman Thomsen, Director of the Division of Enforcement, plans to return to the private sector.During Thomsen’s, the SEC brought more than 2,000 enforcement actions and returned billions of dollars to harmed investors.Among the many enforcement actions led by Thomsen were the Enron investigation and the […]
Scam generated over US$11.6 million in illegal profits, SEC alleges
Mary Schapiro was sworn in as the new chairwoman of the U.S. Securities and Exchange Commission on Tuesday, replacing Christopher Cox.Schapiro comes to the SEC from the Financial Industry Regulatory Authority, where she was CEO. The first woman to serve as the agency’s permanent chairman, she was appointed by new US president Barack Obama on […]
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