Isobel Markham

June 17, 2014 | The American Lawyer

The vote on the Securities and Exchange Commission's proposed new protections for money market mutual funds, put forward a year ago, could be delayed even longer as support for the plan begins to erode, Bloomberg Businessweek reports.

By Isobel Markham

2 minute read

June 16, 2014 | The American Lawyer

Ohio Democratic Senator Sherrod Brown has called on Securities and Exchange Commission Chair Mary Jo White to explain why her agency continues to grant regulatory waivers to companies that break the law, Reuters reports.

By Isobel Markham

3 minute read

June 16, 2014 | The American Lawyer

The Financial Industry Regulatory Authority has asked the Securities and Exchange Commission for the go-ahead to raise fees in its dispute resolution forum, Investment News reports.

By Isobel Markham

3 minute read

June 16, 2014 | The American Lawyer

The Securities and Exchange Commission has charged four Northern California residents with insider trading, claiming the group made more than $12 million through trading on Ross Stores Inc. stock options based on information leaked by one of the defendants, the Wall Street Journal reports.

By Isobel Markham

3 minute read

June 13, 2014 | The American Lawyer

The U.S. Securities and Exchange Commission has charged Robert Acri, the founder of Chicago-based investment advisory firm Kenilworth Asset Management, with defrauding investors who thought their money was going toward the redevelopment of a shopping center.

By Isobel Markham

3 minute read

June 13, 2014 | The American Lawyer

The U.S. Securities and Exchange Commission has filed an emergency action against the man behind a fake $750 million bid for Allied Nevada Gold Corp. and the company he controls.

By Isobel Markham

2 minute read

June 13, 2014 | The American Lawyer

Former John Thomas Financial Inc hedge fund manager George Jarkesy, Jr., has lost his bid to throw out a U.S. Securities and Exchange Commission case in which he is accused of steering bloated fees to the brokerage, Bloomberg reports.

By Isobel Markham

3 minute read

June 12, 2014 | The American Lawyer

Securities and Exchange Commission member Luis Aguilar says it's time corporate boards took the necessary steps to oversee their companies' cybersecurity risks, the Wall Street Journal reports.

By Isobel Markham

2 minute read

June 12, 2014 | The American Lawyer

The Securities and Exchange Commission has filed a cease-and-desist order against Albuquerque investment adviser Dennis Malouf, alleging that he illegally pocketed bond trading commissions to which he was not entitled, Investment News reports.

By Isobel Markham

2 minute read

June 12, 2014 | The American Lawyer

Michael Baron, a former senior editor at TheStreet Inc, has agreed to pay $10,225 to settle charges with the Securities and Exchange Commission over claims that he was involved in an insider trading ring involving a group of high school friends, Reuters reports.

By Isobel Markham

2 minute read