News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Bruce Carton2016-04-30T11:00:00
Yesterday, the SEC continued its undefeated streak in its FY 2016 federal court trials. The SEC announced that on April 29, following a two week trial in the U.S. District Court for the Northern District of Illinois, a jury returned a verdict in favor of the SEC in its case ...
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News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2016-11-23T12:30:00Z By Bruce Carton
Following its victory last week in an insider trading case in California, the SEC is off to a 1-0 start in its FY 2017 federal court trials.
2016-11-21T12:30:00Z By Bruce Carton
For the second straight year, the SEC litigated six federal court trials. This year, however, the SEC finally lost a trial -- albeit with an asterisk.
2016-09-16T12:45:00Z By Bruce Carton
The SEC has prevailed in a jury trial against the City of Miami (which it labeled “a recidivist violator of the federal securities laws”) and Michael Boudreaux, the city’s former budget director. Bruce Carton has more enforcement hits and misses.
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