Search Results | Showing 31 - 40 of 41 results for "Division of Enforcement" |
| | | ... company is selectively disclosing important information," said George Canellos, acting director of the SEC's Division of Enforcement. "Most social media are perfectly suitable methods for communicating with investors, but not if the access is restricted ... |
| | | | ... wide-spread corruption in the municipal reinvestment industry," said Robert Khuzami, director of the SEC's division of enforcement, in a statement. "The conduct was egregious - in return for business, the company repeatedly paid undisclosed gratuitous ... |
| | | | ... short selling takes place during a restricted period," said Antonia Chion, associate director of the SEC's Division of Enforcement. "This is true even when the portfolio managers have different investment approaches and generally make their own trading ... |
| | | | ... admitting or denying the SEC's findings," noted an SEC press statement. Robert Khuzami, director of the SEC's Division of Enforcement, said the state failed to give its municipal investors "a fair shake", and misrepresented pertinent information about ... |
| | | | ... and complex but the deception and conflicts are old and simple," said Robert Khuzami, director of the Division of Enforcement. |
| | | | ... and complex but the deception and conflicts are old and simple," said Robert Khuzami, director of the Division of Enforcement. "Goldman wrongly permitted a client that was betting against the mortgage market to heavily influence which mortgage securities ... |
| | | | ... ultimately caused hundreds of millions of dollars in losses," said Robert Khuzami, director of the SEC's division of enforcement. "Investigating potential securities law violations arising out of the credit crisis remains a high priority for the SEC ... |
| | | | ... Securities and Exchange Commission for alleged insider trading. Robert Khuzami, director of the SEC's Division of Enforcement, said Rajaratnam was "not a master of the universe but a master of the Rolodex", referring to the fund manager's knack for getting ... |
| | | | ... master of the universe, but rather a master of the rolodex," said Robert Khuzami, director of the SEC's Division of Enforcement. "He cultivated a network of high-ranking corporate executives and insiders, and then tapped into this ring to obtain confidential ... |
| | | | ... funds and then not follow through on those promises," said Linda Chatman Thomsen, director of the SEC's division of enforcement. "This is particularly true with socially responsible mutual funds because their stated investment restrictions are likely ... |
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