SEC

SEC Brings Reg FD Case Against Presstek and CEO

By Securities Docket on March 11, 2010, 1:44 pm

Case is second under Reg FD in last six months.

Posted in SEC | Tagged Regulation FD | Leave a response

FCPA Enforcement in 2010: Prepare for Blastoff

By Securities Docket on March 10, 2010, 2:47 pm

The DOJ and SEC have made it crystal clear: FCPA enforcement is a top priority in 2010.

Posted in Criminal, SEC | Tagged FCPA | 3 Responses

False Profit: SEC Charges ‘America’s Prophet’ With Fraud

By Securities Docket on March 4, 2010, 2:41 pm

SEC alleges psychic defrauded over 100 investors.

Posted in SEC | Tagged Psychics | Leave a response

SEC’s Secures Funding to Expand NY Office in 2010

By Securities Docket on March 3, 2010, 11:01 am

NY office will add significantly to enforcement and examinations units.

Posted in SEC | Tagged Funding, Regulators | Leave a response

SEC Files Insider Trading Case Against Former Deloitte Employee and Others

By Amanda Harding on March 2, 2010, 3:54 pm

SEC charges former Deloitte tax professional and three others with insider trading.

Posted in SEC | Tagged Insider Trading, Settlements | Leave a response

Court Orders Kmart’s Conaway to Pay More Than $10 Million in SEC Case

By Securities Docket on March 2, 2010, 7:08 am

Former Kmart CEO vows to appeal ruling.

Posted in SEC | Tagged Penalties, Trials | Leave a response

$67 Million in SEC Settlements Distributed to McAffee Investors

By Amanda Harding on February 26, 2010, 2:22 pm

Fair Fund distribution goes out to nearly 16,000 harmed investors.

Posted in SEC | Tagged Fair Funds, Settlements | Leave a response

Civil and Criminal Charges Filed Against Madoff’s Director of Operations

By Amanda Harding on February 26, 2010, 2:18 pm

Madoff’s director of operations charged with falsifying accounting records and siphoning investor funds.

Posted in Criminal, SEC | Tagged Financial Fraud, Madoff | 1 Response

SEC and DOJ Expand Eli Lilly FCPA Probes

By Amanda Harding on February 25, 2010, 11:47 am

Authorities reportedly looking at possible FCPA violations beyond Polish units.

Posted in Criminal, SEC | Tagged FCPA, Investigations | Leave a response

Madoff Whistleblower Markopolos Lashes Out at SEC

By Amanda Harding on February 25, 2010, 11:43 am

Harry Markopolos bashes SEC in upcoming NYT Magazine article.

Posted in SEC | Tagged Madoff, Regulators | 1 Response

SEC