class action « Whistle Blower Exposes Bank Scandals and Fights for Consumers, Small Business and Taxpayers

Robert W. Cook Named Director of SEC Division of Trading and Markets November 10, 2009

Securities and Exchange Commission Chairman Mary L. Schapiro announced today that Robert W. Cook has been named Director of the agency's Division of Trading and Markets.

SEC Charges Former CFO of New York-Based Hedge Fund With Securities Fraud November 10, 2009

The Securities and Exchange Commission today charged the former chief financial officer of a New York-based hedge fund with securities fraud for arranging secret sales of securities from his personal trading account to the hedge fund accounts at inflated prices to generate his own illicit profits.

Chief Litigation Counsel Luis R. Mejia Leaving SEC November 9, 2009

The Securities and Exchange Commission announced today that Luis R. Mejia, Chief Litigation Counsel of the Division of Enforcement, will leave the Commission. He will join the law firm of DLA Piper as a partner in the firm's Washington, D.C., office in December.

SEC to Hold National Seminar for Chief Compliance Officers November 9, 2009

The Securities and Exchange Commission today announced the opening of registration for its CCOutreach National Seminar to help chief compliance officers (CCOs) at investment advisers, investment companies, and broker-dealers enhance their compliance programs for the protection of investors.

SEC's New Division of Risk, Strategy, and Financial Innovation Adds Experts to Senior Ranks November 5, 2009

The Securities and Exchange Commission today announced that three experts in the fields of risk management, structured finance and corporate transactions have been named to senior positions at the SEC's newly-established Division of Risk, Strategy, and Financial Innovation. The Division was created in September to enhance the agency's capabilities […]

Statement by Chairman Schapiro on IASB and FASB Commitment to Improve IFRS and U.S. GAAP and to Bring About Their Convergence November 5, 2009

SEC Chairman Mary L. Schapiro today made the following statement: "I am greatly encouraged by the commitment of the IASB and the FASB to provide greater transparency to the standard setting process and their convergence efforts. I believe that these efforts will result in improved financial information provided to investors."

SEC Charges Wall Street Lawyers and Traders in $20 Million Insider Trading Scheme November 5, 2009

The Securities and Exchange Commission today charged a pair of lawyers for tipping inside information in exchange for kickbacks as well as six Wall Street traders and a proprietary trading firm involved in a $20 million insider trading scheme.

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SEC’s About-Face on Bank of America Raises Eyebrows Judge Scrutinizes Bank Probe

Posted on September 2, 2009 by bankingwhistleblower

By Zachary A. Goldfarb
Washington Post Staff Writer
Friday, August 28, 2009
Wall Street’s top cop has found itself in an uncomfortable spot: arguing that the bad deed at the heart of one of its biggest cases of the year wasn’t that bad.
The Securities and Exchange Commission has sought to soft-pedal the allegations after a federal judge refused [...]

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SEC’s About-Face on Bank of America Raises Eyebrows Judge Scrutinizes Bank Probe

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