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You are browsing the archive for May 2009.
James Barratt Elected as 2009-10 President of SEC Historical Society
James W. Barratt, managing director at Alvarez & Marsal, has been elected as the 2009-10 president of the Securities and Exchange Commission (SEC) Historical Society. The position will take effect on June 1, 2009. “I am honored to be elected to lead the SEC Historical Society,” said Mr. Barratt, who serves in A&M’s Dispute Analysis [...]
Copy of SEC IG Report: “Employee’s Securities Transactions Raise Suspicions of Insider Trading”
A copy of the SEC Inspector General’s Report entitled, “Employee’s Securities Transactions Raise Suspicions of Insider Trading and Create Appearances of Impropriety” is available here.
May 27 Webcast — Calling off an M&A Deal: Legal and Damage Ramifications
In the current economic climate of declining revenue, falling profits, and disappearing credit, the parties to many merger and acquisition agreements are not consummating the deal. This webcast will address issues that Buyers, Sellers, and Lenders face in transaction termination scenarios. The webcast will cover essential legal considerations relating to merger and acquisition contract terms, [...]
CBS News Video: SEC Attorneys Probed For Insider Trading
CBS News reports in this video on two attorneys at the SEC who are reportedly under “active” criminal investigation by the FBI for trading stocks based on inside information. CBS reports that the accusations against the two lawyers – a man and a woman whose names have not been released – are detailed in a [...]
Securities Docket A.M. News Wire for May 15, 2009
Two SEC Attorneys Under “Active” Criminal Investigation for Insider Trading, Little Rock securities class action lawyer Gene Cauley suing former partners, Vivendi Could Face Securities Class Action Trial In US In September, and more.
Thank You to Our Sponsors: Alvarez & Marsal and BDO Consulting
Thank you to Securities Docket website sponsors Alvarez & Marsal and BDO Consulting. Interested in becoming a Securities Docket sponsor? Click here. For 25 years, Alvarez & Marsal has set the standard for working with organizations to tackle complex issues, boost performance and maximize value for stakeholders. Alvarez & Marsal Dispute Analysis & Forensic Services [...]
SEC Issues Wells Notice to Morgan Keegan Related to ARS Liquidity Disclosures
Morgan Keegan & Co. Inc., a subsidiary of Regions Financial (RF), disclosed this week in RF’s Form 10-Q filing with the SEC that the SEC staff issued it a Wells Notice in March indicating that it intends to recommend enforcement action to the Commission. According to RF, In March 2009, Morgan Keegan & Company, Inc. [...]
Breaking: Two SEC Attorneys Under “Active” Criminal Investigation for Insider Trading
Two attorneys at the SEC are reportedly under “active” criminal investigation by the FBI for insider trading. CBS News reports that the accusations against the two lawyers, whose names have not yet been released, are detailed in a report by the SEC inspector general that is based on “more than two years of e-mail and [...]
Carlyle Group Settles NYAG Pension Probe
The Carlyle Group has agreed to pay $20 million and make broad changes in its practices under a settlement reached with the NY Attorney General, Andrew M. Cuomo, as part of Cuomo’s investigation into corruption of the state pension fund. The NYT reports that under the deal, Carlyle executives and the firm will not face [...]
Michael Edney Rejoins Gibson, Dunn & Crutcher in D.C.
Michael J. Edney has rejoined law firm Gibson, Dunn & Crutcher LLP as of counsel in its Washington, D.C. office. The firm announced yesterday that Edney joins its Litigation Department, and its White Collar Defense and Investigations, Crisis Management, and Appellate and Constitutional Law practice groups. Edney rejoins Gibson Dunn after four years of government service. [...]