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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.
Protecting “Evil Zombie Standing” in Federal Court: How NAFER is Helping Receivers to Recover from Wrongdoers
By David A. Castleman & Varinder P. Singh
No legal issue is more important to federal equity receivers than their ability to recover money on behalf of injured consumers or investors.
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Industry News
The latest news from the industry
- Twelve Firms to Pay More Than $63 Million Combined to Settle SEC’s Charges for Recordkeeping Failureson January 13, 2025
The Securities and Exchange Commission today announced charges against nine investment advisers and three broker-dealers for failures by the firms and their personnel to maintain and preserve electronic communications, in violation of recordkeeping…
- Two Robinhood Broker-Dealers to Pay $45 Million in Combined Penalties for Violating More Than 10 Separate Securities Law Provisionson January 13, 2025
The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have agreed to pay $45 million in combined civil penalties to settle a range of SEC charges arising…
- SEC Charges Former Public Company Officer and His Sister-In-Law with Insider Tradingon January 13, 2025
The Securities and Exchange Commission today charged Alfred V. Tobia, Jr., the former president and chief investment officer (CIO) of one public company and a member of the board of another, and his sister-in-law, Elizabeth Lee, with insider trading that…