Search Results | Showing 21 - 30 of 41 results for "Division of Enforcement" |
| | | ... securities as they do to investors in more traditional forms of securities," associate director in the division of enforcement Carolyn Welshhans said. "As alleged in the SEC's complaint, Felton victimised investors through material misrepresentations ... |
| | | | ... misconduct by trying to persuade the other bidder not to describe Kamensky's conduct as a threat." The SEC division of enforcement's complex financial instruments unit chief Daniel Michael said this type of "deceptive conduct" has no place in securities ... |
| | | | ... we will continue to pursue violations that undermine this priority," said LeeAnn G. Gaunt, chief of the Division of Enforcement's Public Finance Abuse Unit. The order includes a US$1.75 million penalty, US$6.74 million in disgorgement of ill-gotten gains ... |
| | | | ... they will obtain nonpublic material information through their representative occupying dual roles," SEC division of enforcement associate director Anita B. Bandy said. Ares Management LLC is a wholly-owned subsidiary of NYSE-listed Ares Management Corporation ... |
| | | | ... Community Bank also pressured customers to buy products they did not need and would not use." The SEC's Division of Enforcement co-director, Stephanie Avakian, said the bank also misled investors with inconsistent disclosures. "Wells Fargo repeatedly ... |
| | | | ... senior citizens and small business owners," said Carolyn Welshhans, associate director in the SEC's Division of Enforcement. |
| | | | ... benefits for Main Street investors, including through improved disclosure. Also, I am once again proud of our Division of Enforcement for their vigorous and effective pursuit of matters that substantially benefit our long-term, retail investors," he ... |
| | | | ... more efficient and less politically-motivated regulator, according to former assistant director of the division of enforcement at the US Securities and Exchange Commission Jordan Thomas. Speaking to Financial Standard, Thomas, now chair of Labaton Sucharow's ... |
| | | | In light of news about a potential Royal Commission, former assistant director of the division of enforcement at the US Securities and Exchange Commission Jordan Thomas has said Australia's financial system could benefit from "substantial reassessment." ... |
| | | | ... and surviving spouses and children to buy strip malls," said Andrew Ceresney, co-director of the SEC's Division of Enforcement. "To make matters worse, other senior officers at the firm joined together with him to cover up his deceitful and grave betrayal ... |
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