Jan. 27 Webcast Materials
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Join the Securities Litigation and Enforcement Group on LinkedInSeptember 2009
You are browsing the archive for September 2009.
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.
SEC Files Actions Against Former CFO of Isilon Systems
SEC also files settled enforcement action against company itself.
SEC Argues Kmart’s Conaway Should Pay $24 Million Fine
Hearing gets underway on possible penalties for former Kmart CEO.
FOX Business Video: SEC to Roll Out New Employee Compliance Software
New software will help facilitate and track SEC employee trading.
Securities Docket A.M. News Wire for September 17, 2009
Get caught up with the Securities Docket A.M. News Wire for September 17, 2009.
SEC Announces New Division of Risk, Strategy, and Financial Innovation
New division combines Office of Economic Analysis and the Office of Risk Assessment.
Former Lehman Bros. Salesman Sentenced to Probation in “Golden Goose” Insider Trading Case
Bowers had faced up to 18 months in prison.
Rakoff Order in BofA Case: Game-Changer?
Judge Rakoff’s order may have an impact well beyond the case itself.
Copy of Judge Rakoff’s Order Rejecting SEC-BofA Settlement
A copy of Judge Rakoff’s order is available here.