Tag Archives: Mary Jo White

SEC to Pursue Discipline of Individuals

State Board Report October 2013 The Securities and Exchange Commission will continue to “focus on financial statement and accounting fraud,” SEC Chair Mary Jo White told the Council of Institutional Investors on September 26. She stated: “In many ways, the most visible face of the SEC is what we do to enforce the law. After…

Written on October 15, 2013 at 8:39 pm, by

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Categories: State Board Reports
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SEC Demands Admission of Guilt from Falcone

State Board Report September 2013 After in July having rejected an $18 million settlement that would have barred Philip A. Falcone from the securities industry for two years, the Securities and Exchange Commission on August 19 announced it had agreed to a settlement with hedge fund adviser Falcone and his firm Harbinger Capital Partners in…

Written on September 19, 2013 at 6:43 pm, by

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