Tag: Securities and Exchange Commission

Securities and Exchange Commission proposes Transaction Fee Pilot for NMS Stocks
November 02, 2017 BY Valentina Kirilova

David Glockner, Regional Director of Chicago Office, to leave SEC

The Securities and Exchange Commission (SEC) announced that David Glockner, Director of the Chicago Regional Office, is planning to leave the agency later this month. Since late 2013, Mr. Glockner has led a staff of approximately 270 enforcement attorneys, accountants, investigators, and compliance examiners involved in the investigation and prosecution of enforcement actions and the…

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sec whistleblower award
October 16, 2017 BY Valentina Kirilova

SEC announces whistleblower award of more than a million dollars

The Securities and Exchange Commission (SEC) announced that a whistleblower has earned an award of more than $1 million for providing the SEC with new information and substantial corroborating documentation of a securities law violation by a registered entity that impacted retail customers. Today’s award reflects the impact that whistleblower information can have in uncovering…

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Securities and Exchange Commission proposes Transaction Fee Pilot for NMS Stocks
October 13, 2017 BY Valentina Kirilova

SEC charges lawyers with assisting a microcap fraud scheme

The Securities and Exchange Commission (SEC) announced that it has charged two lawyers it alleges helped facilitate a microcap fraud scheme involving undisclosed “blank check” companies secretly bound for reverse mergers. In complaints filed in the U.S. District Court for the Southern District of Florida, the SEC alleges that James M. Schneider of Hillsboro Beach,…

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Securities and Exchange Commission proposes Transaction Fee Pilot for NMS Stocks
June 29, 2017 BY Valentina Kirilova

SEC charges oil and gas company and top finance executives with fraud

The Securities and Exchange Commission (SEC) announced that has charged a Canadian-based oil and gas company and three of its former top finance executives for their roles in an extensive, multi-year accounting fraud. The SEC's complaint alleges that Penn West Petroleum Ltd., which has since been renamed Obsidian Energy Ltd., fraudulently moved hundreds of millions…

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Securities and Exchange Commission proposes Transaction Fee Pilot for NMS Stocks
June 22, 2017 BY Valentina Kirilova

Kelly L. Gibson named as Associate Regional Director for Enforcement in the SEC’s Philadelphia office

The Securities and Exchange Commission (SEC) announced that Kelly L. Gibson has been named the Associate Regional Director for Enforcement in the SEC’s Philadelphia Office. Ms. Gibson succeeds G. Jeffrey Boujoukos, who became Regional Director of the SEC’s Philadelphia office in January. Ms. Gibson joined the SEC as a staff attorney in the Enforcement Division…

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Securities and Exchange Commission proposes Transaction Fee Pilot for NMS Stocks
June 21, 2017 BY Valentina Kirilova

Kathryn A. Pyszka named as Associate Regional Director for Enforcement in the SEC’s Chicago office

The Securities and Exchange Commission (SEC) announced that Kathryn A. Pyszka has been named an Associate Regional Director for Enforcement in the SEC’s Chicago Office. Ms. Pyszka succeeds Timothy L. Warren, who retired from the SEC in January. In her new role, Ms. Pyszka will co-lead the Chicago Office’s Enforcement program with Robert Burson, who…

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Securities and Exchange Commission proposes Transaction Fee Pilot for NMS Stocks
June 16, 2017 BY Valentina Kirilova

Keith Cassidy named Associate Director of Technology Controls Program in OCIE: SEC

The Securities and Exchange Commission (SEC) announced that Keith E. Cassidy has been named Associate Director, Technology Controls Program, in the Office of Compliance Inspections and Examinations (OCIE). Mr. Cassidy began his career at the SEC as an Attorney Advisor in the Office of Legislative and Intergovernmental Affairs in 2010 before being promoted to Deputy…

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