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You are browsing the archive for April 2010.
Securities Docket A.M. News Wire for April 6, 2010
Get caught up with the Securities Docket A.M. News Wire for April 6, 2010.
SEC Names Robert Keyes Assoc. Regional Director and Chief of Regional Office Ops. in NY
Keyes named to newly-created post in NY Regional Office.
Securities Docket A.M. News Wire for April 3, 2010
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FBI Arrests Five on Charges Related to Insider Trading Scheme
Two investor relation professionals and three other defendants arrested for insider trading scheme.
SEC Considers Requiring Detailed Findings of Investigations in Settlement Agreements
The agency may require detailed findings in settlement agreements.
Kosta Kovachev Sentenced to Nearly Four Years in Prison in Dreier Scheme
Former securities broker who aided Marc Dreier is sentenced.
Stanford Seeks New Attorneys, Again
Stanford requests fourth set of attorneys after disagreement on strategy.
UK: FSA Charges Seven with Insider Trading
FSA claims insider trading ring made £2.5 million in illegal profits.
Securities Docket A.M. News Wire for April 2, 2010
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Securities Docket A.M. News Wire for April 1, 2010
Get caught up with the Securities Docket A.M. News Wire for April 1, 2010.