September 2011
You are browsing the archive for September 2011.
By Securities Docket on September 22, 2011, 1:09 pm
NYT Magazine looks at the state of insider trading enforcement.
Posted in SEC | Tagged Insider Trading
By Securities Docket on September 22, 2011, 12:09 pm
Trader sentenced to 10 years in prison.
Posted in Criminal, SD Insider, Top | Tagged Insider Trading, Sentencing
By Securities Docket on September 22, 2011, 12:09 pm
Most recent trustee request for $45 million in fees would bring total in the case to $224 million.
Posted in Criminal, Industry, Top | Tagged Fees, Madoff, Trustees
By Securities Docket on September 22, 2011, 11:09 am
Commentator argues Madoff exposed how wayward the SEC has become.
Posted in SEC | Tagged Madoff
By Securities Docket on September 22, 2011, 2:09 am
Former SEC GC says “I did precisely what I was supposed to do.”
Posted in SEC, Top | Tagged Ethics, Inspector General, Regulators, US Congress
By Securities Docket on September 21, 2011, 8:09 pm
Court rules derivative action should be litigated in England.
Posted in Class Actions, Industry, Top | Tagged Derivative Actions, Dismissals
By Securities Docket on September 21, 2011, 7:09 pm
SEC alleges father and son traded on information learned on firm’s exchange-traded funds desk.
Posted in SEC, Top | Tagged Insider Trading
By Securities Docket on September 21, 2011, 1:55 pm
Get caught up with the Securities Docket News Wire for Sept. 21, 2011.
Posted in News Wire | Tagged News Wire
By Securities Docket on September 21, 2011, 1:09 pm
Dodd-Frank is GOP’s newest anti-Obama target on campaign trail.
Posted in Industry, SEC, Top | Tagged Dodd-Frank, US Congress
By Securities Docket on September 21, 2011, 12:09 pm
Former Silicon Valley sales manager found guilty of conspiracy charges in insider trading case.
Posted in Criminal, Top | Tagged Conspiracy, Insider Trading