Former SEC employees hired by Wall Street firms help their new employers to influence regulator and blunt enforcement actions, POGO argues
Lifting the ban may present investors with risk from misleading advertising from alternative asset managers
U.S. attorney brings knowledge of securities markets and commitment to investor protection
Final report does not “accurately reflect” U.S. law
Settlements for several categories of allegations reached new highs during 2012
Judgments obtained against 10 defendants in fraud case involving Vancouver firm
Robert Khuzami tackled cases stemming from the financial crisis during his tenure
Auditors charged over audit of failed Nebraska bank
Broker-dealers required to conduct searches for holders of securities with whom they have lost contact
Peter Beck and Charles Kim to pay US$500,000 civil fine