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You are browsing the archive for November 2009.
Lev Dassin of SDNY Joining Cleary Gottlieb in New York office
SDNY prosecutor joining Cleary in New York.
Securities Docket A.M. News Wire for Nov. 8, 2009
Get caught up with the Securities Docket A.M. News Wire for Nov. 8, 2009.
Securities Docket A.M. News Wire for Nov. 7, 2009
Get caught up with the Securities Docket A.M. News Wire for Nov. 7, 2009.
Web Watch: Best Blog Posts and Columns For the Week Ending Nov. 6, 2009
A digest of Securities Docket’s Web Watch (”This Week’s Best Blog Posts and Columns”) for the week ending Nov. 6.
FINRA: How Well Do You Know Your Cleaning Crew?
Are examination questions inspired by movie “Wall Street?”
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Former Jeffries Money Manager Indicted for Insider Trading
Money manager and three others were originally charged back in February 2009.
Grmovsek to Receive 39 Month Sentence for Insider Trading Scheme
Trader to be sentenced to over three years in prison for role in insider scheme.
Khuzami: 2009 SEC Quote of the Year
Insider trading wisdom from SEC Enforcement Director Rob Khuzami.