Trials

UK: FSA Strikes Again With Third Insider Trading Conviction

By Securities Docket on March 10, 2010, 1:51 pm

London jury finds former Cazenove partner guilty.

Posted in Global | Tagged FSA, Insider Trading, Trials, UK | 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

Former Quest CFO Found Guilty of Wire Fraud

By Amanda Harding on February 26, 2010, 2:15 pm

Former Quest CFO David Grose found guilty of three counts of wire fraud in jury trial.

Posted in Criminal | Tagged Financial Fraud, Guilty Verdict, Trials | Leave a response

Ex-Brocade CEO Faces Retrial in Backdating Case

By Securities Docket on February 23, 2010, 10:43 pm

Former Brocade CEO Gregory Reyes’s retrial on options backdating charges begins in San Francisco.

Posted in Criminal | Tagged Options Backdating, Prosecutors, Trials | 2 Responses

China: Gome Ex-Chairman’s Insider Trading and Bribery Trial Forthcoming

By Securities Docket on February 22, 2010, 10:10 pm

Former Gome CEO to be tried for insider trading, illegal business dealings and bribery within a month.

Posted in Criminal, Global | Tagged China, Insider Trading, Trials | Leave a response

Rajaratnam Criminal Trial Scheduled for October 2010

By Amanda Harding on February 18, 2010, 2:27 pm

Criminal trial in Galleon case set to begin two months after SEC’s civil trial.

Posted in Criminal | Tagged Insider Trading, Prosecutors, Trials | Leave a response

Australia: AWB Agrees to Pay $40 Million to Settle Iraq Kickback Case

By Securities Docket on February 15, 2010, 3:29 pm

AWB agrees to pay $39.5 million to settle securities class action, end ongoing trial.

Posted in Class Actions, Global | Tagged Australia, Class Actions, Settlements, Trials | Leave a response

Stanford Financial Employees Acquitted in Shredding Case

By Securities Docket on February 12, 2010, 4:20 pm

Judge finds evidence of intent “substantially lacking.”

Posted in Criminal | Tagged Acquittals, Stanford Financial, Trials | Leave a response

Closing Arguments Begin in Stanford Shredding Trial

By Amanda Harding on February 10, 2010, 4:30 pm

Prosecutor argue employees knew court order demanded documents be preserved at time of shredding.

Posted in Criminal | Tagged Stanford Financial, Trials | Leave a response

Motion to Dismiss Denied in Stanford Shredding Trial

By Securities Docket on February 9, 2010, 6:36 pm

Court denies motion to dismiss, but calls evidence “thin.”