Daily Archives: November 7, 2008, 9:28 pm

SEC Administrative Law Judge Rejects Recommended Discipline Against SEC Officials in Both Pequot and Bear Stearns Matters

The ruling does not yet appear to be available online but the AP reports that on Friday, the SEC’s chief administrative law judge, Brenda Murray, rejected the recommendations by SEC Inspector General H. David Kotz that SEC officials be disciplined in two separate cases. Murray reportedly declined to order any discipline in connection with the investigation of investment bank Bear…

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Further Details on Deloitte’s Lawsuit Against its Former Vice Chairman

Ryan Blitstein of the Huffington Post has an excellent article following up on the complaint filed by Deloitte against Thomas P. Flanagan, a 30-year partner and vice chairman with the firm, alleging insider trading (previously discussed on Securities Docket here and here). Among the interesting tidbits in Blitstein’s article are the following: Flanagan was a major player at Deloitte’s Chicago…

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Thank You to Our Sponsors

Thank you to Securities Docket sponsors Citizens Bank and Administar Services Group LLC. Citizens Bank is the only bank in the country with a specialized group for class action and regulatory settlements, serving law firms, regulators and claims administrators. Administar Services Group LLC, a Computershare company, partners with counsel to assist them in navigating the administrative complexities of a securities…

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