- Topics
- Regions
- Events
- Webcasts
- Resources
- CW Exclusives
- Membership
“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
SEC Trial Scorecard Update: Jury Returns Mixed Verdict in Willie Gault Case
After a verdict-free period that spanned three months, my SEC Trial Scorecard is finally back in action to report on yesterday's verdict in the SEC's case against former NFL wide receiver Willie Gault. This running SEC Trial Scorecard tracks the SEC's trials and outcomes for FY 2015.
THIS IS MEMBERS-ONLY CONTENT
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
Related articles
-
ArticleTrump fires both Democratic commissioners on FTC
President Donald Trump fired two Democratic commissioners serving on the Federal Trade Commission, the regulatory agency overseeing antitrust and consumer protection laws and which has been traditionally independent and staffed by members of both political parties.
-
News BriefCCO who was ‘sole person controlling’ investment firm charged with recidivist concentration violations
An investment company and its founder, president, and chief compliance officer flagrantly kept violating mutual fund rules for multiple years after settling with the Securities and Exchange Commission, the SEC said in a complaint against the company.
-
News BriefExpert: Treasury’s move to ‘narrow’ BOI requirements would gut AML law
The U.S. Treasury’s effort to dramatically narrow the focus of the Corporate Transparency Act through “emergency” rulemaking would gut the law’s anti-money laundering efforts, a transparency expert said.