All posts tagged "SEC"

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  Former SEC Enforcement Lawyer Convicted in ‘Pump and Dump’ Scheme

  Phillip Windom Offill, a former Securities and Exchange Commission enforcement lawyer in the agency’s Fort Worth, Texas, office was convicted on one...

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  Daniel Gallagher to Join WilmerHale as Partner

  The Deputy Director at the U.S. Securities and Exchange Commission’s Division of Trading and Markets is ending his four year tenure at...

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  New Charges Filed against Bank of America

  Yesterday we updated you on the ongoing case filed by the SEC against Back of America stemming from the merger between Bank...

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  Morning Roundup

  Good morning everyone! Today is Tuesday, January 12, and here’s a look back at yesterday’s stories. Thomas Russo has been offered the...

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  Court Denies SEC Attempt to Broaden Charges Against BofA

  The Securities and Exchange Commission wanted to add an additional charge to its complaint against Bank of America, saying the that the...

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  S&P’s First Amendment Defense in Mortgage Backed Security Ratings Case Rejected by Federal Court

  When the bubble burst on the housing market, it triggered a chain reaction in part because of mortgage backed securities issued as...