News & Analysis as of

Securities Investor Protection Corporation Ponzi Scheme

SEC Efforts To Compel SIPIC Coverage For Stanford Victims Rejected

by Dorsey & Whitney LLP on

The D.C. Circuit rejected efforts by the SEC to compel the Securities Investor Protection Corporation to liquidate a broker-dealer that was part of the Stanford Ponzi scheme empire. The investors had purchased CDs from an...more

SEC’s Alleged Failure to Notify SIPC of Ponzi Scheme Does Not Create Liability

A Florida federal court has dismissed a class action alleging that the Securities and Exchange Commission was negligent for failing to report that Robert Allen Stanford’s $7 billion fund was a Ponzi scheme, finding the...more

Corporate and Financial Weekly Digest - August 23, 2013

In this issue: - SEC, CFTC and FINRA Issue Joint Advisory on Business Continuity and Disaster Recovery Planning - FINRA Updates Private Placement Form and Issues FAQ - SEC Approves Amendments to FINRA...more

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Cybersecurity

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