In this Q&A with The Lawbook, Mallett discusses her time at the SEC, the challenges facing the SEC’s Fort Worth Regional Office, the SEC’s expansion of its whistleblower program and the impact on Texas businesses, and other SEC enforcement trends that impact companies and those in the financial investment world.
Retired Dallas FBI Agent’s Accomplice in Bizarre ‘Secret Probation’ Scam Gets 70 Months
Joseph DeLeon, who helped former FBI agent Bill Stone cheat a Granbury woman out of more than $750,000, apologized and said he, too, was a victim of the grift. But U.S. District Judge Ada Brown was having none of it.
Former Senior SEC Lawyer Scott Mascianica Leaves Holland & Knight for Hilgers Graben
Mascianica joins the firm as a partner and head of its Government Investigations and Regulatory Enforcement group. Mascianica shares why the career move was “too good of an opportunity to pass up” in an interview with The Lawbook.
Come ‘World War or Power Outages,’ SEC’s FWRO Charges 17 in Alleged CryptoFX Fraud Scheme
The U.S. Securities and Exchange Commission filed federal fraud charges Thursday against 17 sales workers with a Houston-based cryptocurrency trading company for allegedly operating a $300 million Ponzi scheme targeting more than 40,000 investors — most of them Latinos.