Page 3 - Sec Enforcement Division News Today : Breaking News, Live Updates & Top Stories | Vimarsana

Stay updated with breaking news from Sec enforcement division. Get real-time updates on events, politics, business, and more. Visit us for reliable news and exclusive interviews.

Top News In Sec Enforcement Division Today - Breaking & Trending Today

Investment adviser duo forced to pay $7m in SEC probe with six worldwide regulators

The principal and trader of a Toronto-based global investment firm have been forced to make a $7m disgorgement payment after US regulator the Securities and Exchange. ....

British Virgin Islands , Hellenic Republic , Jennifers Leete , Marc Bistricer , Paul Zogala , Jersey Financial Services Commission , Nova Scotia Securities Commission , British Virgin Islands Financial Services Commission , Ontario Securities Commission , Central Bank , Exchange Commission , Hellenic Republic Capital Markets Commission , Murchinson Ltd , Enforcement Division , Securities Exchange , Ontario Securities , Securities Exchange Act , Securities And Exchange Commission , Murchinson Ltd , British Virgin Islands Financial Services Commission , Hellenic Republic Capital Markets Commission , Central Bank Of Ireland , Jersey Financial Services Commission , Nova Scotia Securities Commission , Ontario Securities Commission , Sec Enforcement Division ,

SEC Enforcement Division Director To Step Down By Year's End

SEC Enforcement Division Director to Step Down by Year s End
Stephanie Avakian has served as the head of the division for four years, and oversaw investigations into Wells Fargo s supervision of investment advisors as well as the Share Class Selection Disclosure Initiative.
SEC Enforcement Division Director Stephanie Avakian will be leaving her post and the agency by the end of this year, the commission announced Thursday. She departs after a four-year tenure as both co-director and director of the 1,400-person department.
Deputy Director Marc Berger will be stepping in as an acting head of the division in the interim. In total, the Division of Enforcement recommended more than 3,000 enforcement actions during Avakian’s tenure, obtaining more than $17 billion in financial remedies and returning about $3.6 billion to investors. ....

United States , New York , Stephanie Avakian , Paul Carey , Wilmer Cutler Pickering Hale , Steve Peiken , Jay Clayton , Mark Berger , Institute For Law , Share Class Selection Disclosure Initiative , Sec Enforcement Division , York Regional Office , Enforcement Division , Division Of Enforcement , Wells Fargo , Division Director Stephanie Avakian , Director Mark Berger , New York Regional Office , Commissioner Paul , Pennsylvania Carey Law School Virtual Program , ஒன்றுபட்டது மாநிலங்களில் , புதியது யார்க் , மாற்றாந்தாய் வாக்கிங் , பால் கேரி , வில்மர் கட்லர் எடுக்கும் ஹேல் , ஜெய் களிமண் ,