Jan. 27 Webcast Materials
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Join the Securities Litigation and Enforcement Group on LinkedInJuly 2011
You are browsing the archive for July 2011.
D&O Insurance Offerings Expand to Securities Law Investigations
New insurance options cover securities law investigations.
Rupert Murdoch’s News Corp could face U.S. probe for allegedly violating bribery laws
Ir remains unclear if U.S. authorities will commit resources to a probe.
Securities Docket News Wire for 2011-07-12
SEC Charges Janney Montgomery Scott Failed to Maintain and Enforce Policies to Prevent Misuse… http://goo.gl/fb/tUwKj # Ex-Goldman Director Can Pursue Case Against SEC http://goo.gl/fb/tXXod # Ex-Goldman Director Can Pursue Case Against SEC http://goo.gl/fb/CN5td # Securities Docket News Wire for 2011-07-11 http://goo.gl/fb/lVAe0 #
SEC Charges Janney Montgomery Scott Failed to Maintain and Enforce Policies to Prevent Misuse of Material, Nonpublic Information
SEC claims Janney’s conduct created risk that material, nonpublic information could be used for insider trading.
Ex-Goldman Director Can Pursue Case Against SEC
Judge Rakoff rules Gupta being treated differently than other defendants, with no explanation why.
Securities Docket News Wire for July 11, 2011
Get caught up with the Securities Docket News Wire for July 11, 2011.
Where was SEC as trouble festered at Chinese companies?
U.S. laws meant to fight accounting fraud lose some effect with Chinese-based entities.
DID THE DOJ AND THE SEC GO SOFT ON BUSINESS CRIME? – SEC ACTIONS
Non-prosecution and deferred prosecution agreements are tools to encourage cooperation to speed investigations, resolve cases.