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Judge Rakoff’s “Sour Grapes”: SEC v. Citigroup Settlement Approved

On August 5, 2014, U.S. District Judge Jed Rakoff reluctantly approved a$285 million settlement in the SEC’s enforcement action against Citigroup. In SEC v. Citigroup, the SEC alleged that after Citigroup realized in early...more

8/13/2014 - Citigroup Enforcement Enforcement Actions Judge Rakoff Mortgage-Backed Securities SEC SEC v Citigroup Settlement

The SEC Wants To Know About Your Whistleblower Policy

SEC Regional Office Director David Bergers recently emphasized the importance of a company’s whistleblower policy when deciding whether to file an enforcement action against a company. Bergers made his comments at an internal...more

12/19/2012 - Enforcement Actions SEC Whistleblower Protection Policies Whistleblowers

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