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Entries in Judge Cameron Elliot (3)


Mike Scher: Scapegoats are out, compliance badasses are in

It's time for the compliance community to be hopeful. In the same month, the DOJ announced it was hiring a compliance expert to help make charging decisions, and an administrative law judge refused to allow the SEC to sanction a former Wells Fargo Advisors compliance officer because doing so would make her a scapegoat.

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Judge dismisses SEC action against former Wells Fargo compliance officer

A former Wells Fargo compliance officer who allegedly altered a document before giving it to the SEC during an investigation won dismissal of her case Wednesday after an administrative law judge refused to sanction her.

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China units of Big Four in settlement talks with SEC

The U.S. Securities and Exchange Commission said it is trying to reach a settlement with the Chinese units of the Big Four accounting firms of a long-running dispute over regulators' access to audit documents.

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