Year: 2017

SEC Enforcement is shifting focus to consumers and cyber-security according to the Chairman. Whether that marks the end of “broken windows” and many of the programs the approach spawned is yet to be seen. Regardless, insider trading, long a staple …

Consultant, Long Time Friend Settle SEC Insider Trading Charges Read More »

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The Commission has an on-going program monitoring whether broker-dealers timely file suspicious activity reports or SARS with the Financial Crimes Network or FinCEN. Its most recent case in this area focused on the failure of a firm to properly file …

SEC Charges Wells Fargo With Failing to File SARs Read More »

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