Robert Khuzami

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  SEC Comings and Goings: Canellos, Ceresney Named Co-Heads of Enforcement

  By Melanie Waddell, AdvisorOne  |  April 22, 2013

  SEC Chairwoman Mary Jo White has named her former colleague Andrew Ceresney and acting enforcement director George Canellos co-directors of the enforcement division.

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  What I Learned at Our Compliance Conference, Pt. 2: What SEC Examiners Are Pursuing

  By David Tittsworth, IAA  |  March 18, 2013

  What are the SEC's priorities in examining investment advisors? A look at OCIE's priorities, and at what may be the most underreported development in advisor exams.

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  SEC Names Acting, Deputy Directors of Enforcement

  By Melanie Waddell, AdvisorOne  |  February 1, 2013

  The SEC announced Thursday that George Canellos has been named acting director, and that David Bergers, director of the SEC’s Boston Regional Office, has been named acting deputy director.

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  SEC Names Martinez Chief of Market Intelligence

  By Melanie Waddell, AdvisorOne  |  January 22, 2013

  The SEC announced Tuesday that Vincente L. Martinez has been named Chief of the Enforcement Division’s Office of Market Intelligence, which collects and evaluates the tips, complaints and referrals that come into the agency.

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  SEC’s Top Cops Blast Columbia Law Professor Over ‘Inaccurate’ Enforcement Stats

  By Melanie Waddell, AdvisorOne  |  January 15, 2013

  The SEC’s two top enforcers, Robert Khuzami and George Canellos, are coming out against a recent article titled "SEC enforcement: What has gone wrong?"

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  SEC’s Top Cop, Khuzami, to Leave

  By Melanie Waddell, AdvisorOne  |  January 9, 2013

  The SEC’s top cop, Robert Khuzami, plans to leave the agency later this month after four years as its enforcement director, the SEC announced Wednesday.

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  Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak Up

  By James J. Green, AdvisorOne  |  December 13, 2012

  Our AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.

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  Vow to Fight SEC Charges From Ex-Morgan Keegan Fund Directors

  By Melanie Waddell, AdvisorOne  |  December 12, 2012

  Eight former independent directors, who were charged by the SEC with overstating the value of their securities as the housing market was collapsing in 2007, say they will “vigorously” contest the charges.

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  SEC, FINRA Enforcement Roundup: Insider Trading Ring Busted; Raymond James Hit

  By Marlene Y. Satter, AdvisorOne  |  December 7, 2012

  Among recent actions taken by the SEC and FINRA were the breakup of an insider trading ring; Raymond James getting fined and censured; and proceedings over securities law violations by the Big Four accounting firms' China affiliates.

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  U.S. Charges SAC Capital Unit in $276 Million Insider Trading Scheme

  By Melanie Waddell, AdvisorOne  |  November 20, 2012

  The SEC, in its largest insider trading case ever, and the Department of Justice charged hedge fund advisory firm CR Intrinsic Investors, which is a unit of SAC Capital, its former portfolio manager and a medical consultant with insider trading.