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Securities and Exchange Commission

Apr 9, 2018

Prosecutor in Chicago named head of SEC’s regional office

A prominent federal prosecutor who helped convict a former Illinois governor of corruption has been named the new director of the Securities and Exchange Commission's nine-state region out of Chicago.

Oct 19, 2012

Where to turn when tackling tech requests

A client may tremble with fear or fume with annoyance when asked to produce electronic data but it’s up to the legal support team to talk the client down from the ledge.

Mar 22, 2012

SEC ramps up corporate enforcement

The Securities and Exchange Commission is ready for battle.

Sep 28, 2011

5 school districts settle investment lawsuit (UPDATE)

KIMBERLY, Wis. (AP) – An investment firm accused of misconduct for selling risky investments to five Wisconsin school districts has agreed to pay them about $30 million. The Securities and Exchange Commission announced the settlement between RBC Capital Markets and the five districts; including Kimberly, Kenosha, Waukesha, Whitefish Bay, West Allis-West Milwaukee and Milwaukee. The […[...]

Aug 10, 2011

Company accused of defrauding 5 Wis. school districts (UPDATE)

By MARCY GORDON AP Business Writer WASHINGTON (AP) — Federal regulators are accusing brokerage firm Stifel Nicolaus & Co. of civil fraud in its sales of risky complex investments to five Wisconsin school districts that lost all of the $200 million they invested. The Securities and Exchange Commission announced the lawsuit Wednesday against St. Louis-based […]

Jul 7, 2011

JPMorgan pays $211M to settle bid-rigging charges

By DANIEL WAGNER AP Business Writer WASHINGTON (AP) — JPMorgan Chase & Co. has agreed to pay $211 million after admitting one of its divisions rigged dozens of bidding competitions to win business from state and local governments. J.P. Morgan Securities LLC made at least 93 secret deals with companies that handled the bidding processes […]

Apr 8, 2011

New law offers more case options

Whistleblower cases are long and difficult, but attorneys may soon bring more of them due to expanded options laid out in a new law that takes effect this month.

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