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Enforcement Actions: Week in Review - January 16th, 2015


SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types
January 12, 2015 (Litigation Release No. 2)
In the first case focused on stock exchange order types, the SEC has settled with the EDGA and EDGX exchanges for $14 million over charges that they did not accurately describe their order types. These exchanges, formerly owned by Direct Edge Holdings before being acquired by BATS Global Markets, were found to have offered multiple "price...

Enforcement Actions: Week in Review - January 9th, 2015


SEC Names Walter Jospin as Regional Director of Atlanta Office
January 8, 2015 (Litigation Release No. 1)
Walter Jospin will oversee enforcement and examinations as the Regional Director of the SEC's Atlanta Office. Jospin graduated from the Wharton School at the University of Pennsylvania and graduated law school from Emory University. He has previously worked for the SEC's Enforcement Division dealing with investigations into accounting and financial fraud,...

Enforcement Actions: Week in Review - January 2nd, 2015


SEC Announces Charges Against N.Y.-Based Firm and Three Executives Accused of Siphoning Investor Money
December 29, 2014 (Litigation Release No. 294)
The SEC has charged VERO Capital Management, its president, general counsel, and CFO with channeling investors' money into a side venture. Robert Geiger, George Barbaresi and Steven Downey managed a pair of funds invested primarily in mortgage-backed securities at VERO Capital Management. The SEC alleges that, while in...

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