Financial Fraud Law

Recent Posts

The SEC’s Agenda for This Year? Here It Is…
Posted on 10 Jan 2014 by Steven A. Meyerowitz

The Securities and Exchange Commission has just announced its examination priorities for 2014, which cover a wide range of issues at financial institutions, including investment advisers and investment companies, broker-dealers, clearing agencies, exchanges... Read More

For the SEC, 2013 Was a Very Good Year for Targeting Financial Fraud
Posted on 17 Dec 2013 by Steven A. Meyerowitz

The Securities and Exchange Commission had a very good year targeting financial fraud. Those who commit fraud, not so much. In fiscal year 2013, the SEC’s enforcement actions resulted in a record $3.4 billion in monetary sanctions ordered against... Read More