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The Receiver is the official publication for all NAFER members. Our Publications Committee keeps our members up to date on recent case rulings and legal briefs, agency and member news, professional papers and other general updates. If it’s important to the receivership and restructuring community, you’ll find it in The Receiver.
What the Liu Decision Means for Federal Equity Receivers
By David Slovick
In June, the U.S. Supreme Court issued a decision in Liu v. Securities and Exchange Commission which limited the government’s ability to impose monetary sanctions on defendants in Securities and Exchange Commission (“SEC”) enforcement cases.
The latest news from the industry
- SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freezeon June 17, 2021
The Securities and Exchange Commission today announced that it has obtained an asset freeze and other emergency relief, and filed fraud charges, against a Miami-based investment professional and two investment firms for engaging in an alleged “cherry-…
- SEC, NASAA, and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention and Reporting of Financial Exploitation of Seniorson June 16, 2021
In recognition of World Elder Abuse Awareness Day, the U.S. Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) today announced a new resource…
- Six Charged in Silicon Valley Insider Trading Ringon June 15, 2021
The Securities and Exchange Commission today announced insider trading charges against a Silicon Valley trading ring whose members generated nearly $1.7 million in illegal profits and losses avoided by trading on the confidential earnings information of…