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Showing 31 - 40 of 41 results for "Division of Enforcement"

Bloomberg to make disclosure announcements via Twitter

ALEX DUNNIN  |  FRIDAY, 5 APR 2013
... 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 ...

Banc of America Securities charged with fraud

RUTH LIEW  |  MONDAY, 13 DEC 2010
... 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 ...

Hedge fund adviser gets $2.7m fine

RUTH LIEW  |  FRIDAY, 24 SEP 2010
... 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 ...

SEC charges New Jersey with fraud

RUTH LIEW  |  FRIDAY, 27 AUG 2010
... 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 ...

FSA starts Goldman Sachs investigation

RUTH LIEW  |  THURSDAY, 22 APR 2010
... and complex but the deception and conflicts are old and simple," said Robert Khuzami, director of the Division of Enforcement.

Goldman Sachs accused of fraud

SEC RELEASE  |  MONDAY, 19 APR 2010
... 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 ...

State Street settles suit for $340m

SEC RELEASE  |  MONDAY, 8 FEB 2010
... 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 ...

Galleon sinks $4bn

MICHELLE BALTAZAR  |  THURSDAY, 22 OCT 2009
... 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 ...

Billionaire faces insider trading noose

SEC RELEASE  |  MONDAY, 19 OCT 2009
... 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 ...

Pax fined for SRI breach

MICHELLE BALTAZAR  |  MONDAY, 25 AUG 2008
... 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 ...