Mauro Wolfe

Mauro Wolfe

Duane Morris LLP

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SEC Targets Investment Adviser Community

The Enforcement Division of the Securities and Exchange Commission (SEC) and its Office of Compliance Inspections and Examinations (OCIE) are focusing their examination and disciplinary efforts on the investment adviser...more

11/13/2013 - Chief Compliance Officers Compliance Corporate Counsel Enforcement Investment Adviser Investment Advisers Act of 1940 OCIE SEC

Unprecedented FCPA Wake-Up Call for U.S. Broker-Dealers and Foreign Banks: Has the Perfect FCPA Storm Finally Arrived for U.S....

On May 7, 2013, the U.S. Attorney's Office for the Southern District of New York (SDNY) unsealed extraordinary criminal charges against two registered representatives of a U.S. broker-dealer and a high-level Venezuelan...more

5/14/2013 - Bribery Broker-Dealer Compliance FCPA Foreign Banks Fraud SEC

Use It or Lose It: U.S. Supreme Court Holds the SEC Must Bring Civil Enforcement Actions Within Five Years of Wrongful Conduct

On February 27, 2013, the United States Supreme Court put a stop to the Securities and Exchange Commission's (SEC) practice of bringing civil enforcement actions outside the five-year statute of limitations. In an opinion by...more

3/1/2013 - Civil Monetary Penalty Discovery Rule Gabelli v SEC SCOTUS SEC Securities Securities Fraud Statute of Limitations

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