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You are browsing the archive for August 2009.
Securities Docket A.M. News Wire for August 10, 2009
Bernard Madoff aide Frank DiPascali to plead guilty this week; Pequot Trading in Google, Cox, Premcor Sparked Warnings to SEC; Golden Receivers: Trustees Make Killing Mopping Up Frauds; SEC To Launch “Specialized Unit” Devoted to FCPA.
Securities Docket A.M. News Wire for August 9, 2009
ALL BUSINESS: How tough is the SEC? http://bit.ly/ykrnm # SEC To Launch “Specialized Unit” Devoted to FCPA http://bit.ly/NX8BO #
Web Watch: Best Blog Posts and Columns For the Week Ending August 7
Here is the weekly summary for Securities Docket’s Web Watch (”This Week’s Best Blog Posts and Columns).”
Securities Docket A.M. News Wire for August 8, 2009
The SEC Speeds Up Its Enforcement Arm http://bit.ly/DCjTb # Disgraced Former UBS GC Now a Williams & Connolly Partner http://bit.ly/4uVltQ # U.S. to File Charges Against DiPascali, Ex-Madoff CFO http://bit.ly/PmROb # Preet Bharara Confirmed as U.S. Attorney for the SDNY http://bit.ly/N90ck # Senate Approves Five U.S. Attorneys by Unanimous Consent http://bit.ly/VBfpc # Colonial BancGroup faces [...]
Preet Bharara Confirmed as U.S. Attorney for the SDNY
Preet Bharara was confirmed by the Senate today as U.S. Attorney for the Southern District of New York. The New York Times City Room blog reports that Bharara, 40, was recommended by Senator Charles Schumer for the post. Bharara has been Schumer’s top aide on the Senate Judiciary Committee since 2005. Previously, Bharara served in [...]
Did AIG’s Greenberg Just Blow Up His SEC Settlement?
Did former AIG CEO Maurice “Hank” Greenberg just blow up his settlement yesterday with the SEC through comments made on his behalf following the settlement? The New York Times reports that shortly after the SEC’s announcement of the settlement, in which Greenberg agreed to settle the case without admitting or denying the allegations against him, [...]
Securities Docket A.M. News Wire for August 7, 2009
Judge Approves $15 Million in Fees for Trustee in Madoff Matter; Reuters Video: Schapiro’s Newly Aggressive SEC; FOX Business Video: Madoff Victims Try to Block Trustee’s Pay; Behind BofA’s Silence on Merrill; Khuzami Announces Major Enforcement Initiatives; Copy of Robert Khuzami’s “First 100 Days” Speech Announcing Enforcement Initiatives Available Here; Guest Column: Commission Alleges Violation of SOX 304; Two Chinese business people executed for defrauding investors; SEC Files Settled Enforcement Actions Against Former CEO and CFO of AIG; and more.
Thank You to Our Sponsors: Alvarez & Marsal, Daylight Forensic & Advisory, and FAILSAFE CPA
Thank you to Securities Docket website sponsors Alvarez & Marsal, Daylight Forensic & Advisory, and FAILSAFE CPA. 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 [...]
Carton’s Corner
Between Securities Docket and my blog (”Enforcement Action”) and column at Compliance Week, I am immersed on a daily basis in the world of securities litigation and SEC enforcement. Check out “Carton’s Corner” to see what I’m seeing.
Reuters Video: Schapiro’s Newly Aggressive SEC
In this Reuters video, two former SEC officials, Howard Elisofon and former SEC Commissioner Paul Atkins, discuss SEC issues such as whether current SEC Chairman Mary Schapiro’s aggressive stance will be effective, and the concept of self-funding.