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You are browsing the archive for March 2010.
Securities Docket A.M. News Wire for 2010-03-07
FCPA Sting Defendant Will Plead Guilty http://bit.ly/abuRRb # Thomas F. Quinn, the Last of the Golden Swindlers (by John R. Emshwiller, WSJ) http://bit.ly/a4ZrNF # Ex-McKesson Chairman McCall Gets 10-Year Prison Term http://bit.ly/dcMMwA #
Securities Docket A.M. News Wire for Mar. 6, 2010
Get caught up with the Securities Docket A.M. News Wire for Mar. 6, 2010.
Securities Docket A.M. News Wire for 2010-03-05
National securities regulator in three years: Ottawa http://bit.ly/auiL2p # False Profit: SEC Charges 'America's Prophet' With Fraud http://bit.ly/c0jdaB #
False Profit: SEC Charges ‘America’s Prophet’ With Fraud
SEC alleges psychic defrauded over 100 investors.
Securities Docket A.M. News Wire for March 4, 2010
Get caught up with the Securities Docket A.M. News Wire for March 4, 2010.
France: 2004 Insider Trading Conviction of George Soros Upheld
George Soros will reportedly now appeal to European Court of Human Rights.
Two Finra Merger Cases Dismissed
Judge Rakoff cites absolute immunity of NASD in its regulatory function.
IOSCO Releases Template for Hedge Fund Regulation
IOSCO sets forth new required disclosures for hedge fund regulators to enforce.
Former Monster Worldwide GC Sentenced to Probation in Backdating Case
Myron Olesnyckyj sentenced to one year of probation in backdating case.