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Occupy Wall Street Files Amicus Brief Supporting Judge Rakoff’s Position in SEC-Citigroup – Compliance Week
OWS’s “Alternative Banking Group” files amicus brief in Second Circuit case.
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SEC Staff End Lehman Probe w/o Action Call – Businessweek
SEC wraps up Lehman Bros. probe, will not recommend enforcement action.
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Securities Docket News Wire for May 24, 2012
Get caught up with the Securities Docket News Wire for May 24, 2012.
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June 13 Webcast: What Every Fiduciary Needs to Know About How to Mitigate Investment Fraud Risk
Please join Dr. Susan Mangiero, Jonathan Morris, Brian Ong, and Karen Tyler for this free webcast.
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The ‘Robin Hood’ and ‘Mother Teresa’ Defenses in Insider Trading Cases
Defendants try out “Robin Hood” and “Mother Teresa” strategies.
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Enron Ex-CEO Seeks Retrial on ‘New Evidence,’ Lawyer Says
Former CEO Skilling to seek new trial based on “newly discovered evidence.”
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Add the ABA to List of Proponents of Self-Funding for SEC
ABA weighs in, in favor of SEC self-funding.
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Did banks cross the line in Facebook research calls?
Why did why banks cut their financial forecasts on Facebook just ahead of the IPO?
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Whistleblower and Other Tips Pouring in to OMI, the SEC’s ‘Central Intelligence Office’
Office of Market Intelligence now analyzing approximately 200 tips per day.
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China: Top court set to define insider trading, market manipulation
Top court to release new judicial interpretations on market manipulation and insider trading.
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Rajat Gupta cannot take a Mother Teresa defence
Judge Jed Rakoff invokes name of Mother Teresa in Gupta trial.
Corporate settlement policy unlikely to be changed by Congress
Republican lawmakers agree judges should avoid micro-managing SEC settlement agreements.
FSA searches for new enforcement chief
Two senior officials at SEC among those considered to be potential candidates.
SEC Probes Role of Hedge Fund in CDOs
SEC reportedly investigating hedge fund firm that bet on mortgage-bond deals that imploded.
SEC Cracking Down on Questionable Tactics by Defense Counsel
SEC ramps up efforts, rhetoric against “sharp practices” in investigations by defense counsel.
At the SEC, Investigations About Investigators Who Investigate Other Investigators
Investigators investigating investigators who are investigating investigators….
Securities Suit Filed Against JP Morgan Chase Over Massive Trading Losses
Shareholders file suit in wake of JP Morgan’s $2 billion trading loss.
Global
- Australia: ASIC sees surge in insider trading cases
- SEC Escalates Battle With D&T Shanghai Over Documents, Brings 102(e) Charges
- Australia: Centro Securities Class Action Settles for Record $200 Million
- Japan’s Leaky Markets Are Governance Washout
- David Green Takes Over at UK’s SFO, Vows Agency is ‘Here to Stay’
People
- Two top lawyers at Wall Street watchdog FINRA departing
- Daniel Nathan Joins Morrison & Foerster in Washington, D.C.
- Lyle Roberts Joins Cooley LLP in Washington, D.C.
- George Canellos Named Deputy Director of the SEC’s Division of Enforcement
- Jim Barratt Joins Forensic Risk Alliance in Washington, D.C.