By Bruce Carton2014-11-14T09:00:00
As I discussed here last week, the SEC recently stated its intention to create a Fair Fund to distribute the funds from its $602 million insider trading settlement with SAC Capital to the people who were on the losing side of certain trades with SAC. This week, that decision was ...
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2015-09-01T14:00:00Z By Joe Mont
Image: That the SEC endures its share of politics is not exactly news—but the amount of politics, and the sheer partisan in-fighting at the agency? That’s rising. Split votes are more common, published dissents from commissioners more frequent. “Sometimes when I see what’s going on now, I’m sorry I ever ...
2026-03-24T19:09:00Z By Adrianne Appel
The ink was barely dry on the U.S. Department of Justice’s new corporate enforcement policy (CEP) when the agency announced it would not prosecute Balt SAS for alleged bribery violations.
2026-03-20T18:24:00Z By Adrianne Appel
Bank of America has agreed to settle a class-action lawsuit alleging know-your-customer and other failings in its dealings with convicted sex offender Jeffrey Epstein.
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