Tag Archives: SEC

Judge Rakoff Opinion regarding SEC and Citigroup Settlement

Posted on November 30, 2011 by Michael Brozzetti

On November 28, 2011 Judge Rakoff issued an opinion regarding the reasons for rejecting the proposed SEC and Citigroup Settlement.  Judge Rakoff wrote in his decision that the SEC’s “long-standing policy, hallowed by history but not by reason,” of allowing financial … Continue reading →

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U.S. SEC takes a second look into ethics compliance

Posted on October 15, 2011 by Michael Brozzetti

In response to our July 1, 2011 Appeal to the U.S. Securities and Exchange Commission for disclosure of all reported ethics incidents and opinions over the past 5 years the SEC’s FOIA office will conduct another search based upon clarifications provided in our … Continue reading →

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The SEC’s ethics compliance system continues to be questioned with boldness

Posted on July 1, 2011 by Michael Brozzetti

Is it of the private and public right to understand the operations and activities of the SEC with respects to honoring their Code of Ethics and maintaining Ethics Compliance?  The Business Integrity Alliance believes it is.  Read our latest Appeal letter to Chairman Schapiro.

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