Posts from July 2014.

This July marks the fourth year since the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”). With the anniversary comes much debate surrounding the effects of the legislation and whether increased regulatory oversight is necessary.  A...

The Securities and Exchange Commission (“SEC”) has brought its first case against a private equity firm for pay-to-play violations involving political campaign contributions to the governor of Pennsylvania and the candidate for Mayor of Philadelphia. The SEC also found that...

Patricia S. Miller (“Miller”), a former representative of Investors Capital Corp. (“ICC”) and Janney Montgomery Scott (“Janney”), was indicted on charges of orchestrating a $2.5 million fraud of 20 clients beginning in 2002. According to the Criminal Complaint issued by...

The Securities and Exchange Commission ("SEC")  has filed fraud charges in the U.S. District Court for the Northern District of Illinois against the City of Harvey, Illinois and its comptroller, Joseph Letke ("Letke"). The City of Harvey has been accused...

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