‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn
You are browsing the site archives by date.
By Securities Docket on December 18, 2008, 11:59 pm
SEC charges “Golden Goose” and six others in huge insider trading case. http://is.gd/co0b # Navigant: Subprime mortgage cases filed in fed. court during first 9 months of ’08 already 50% more than in all of ’07. http://is.gd/cnM4 # Credit Suisse To Pay Top Execs’ Bonuses With Illiquid Mortgage Securities. http://is.gd/cnil # Rockland County D.A. investigating […]
By Securities Docket on December 18, 2008, 11:56 pm
The WSJ’s Nathan Koppel discusses the surreal fall of Marc Dreier, a major litigator now in jail and accused of fraud, selling bogus paper,and impersonation to the tune of $380 million.
By Securities Docket on December 18, 2008, 5:52 pm
Here is a challenge for Securities Docket readers/sleuths: What is the R-rated piece of the SEC’s big insider trading case filed today against the “Golden Goose,” etc. (details of the case previously discussed here)? Please provide your answer in the comments below.
By Securities Docket on December 18, 2008, 4:58 pm
Reuters reports in the video below on Pres.-elect Obama’s announcement this morning in which he named Mary Schapiro, current CEO of FINRA, as the next chairwoman of the Securities and Exchange Commission. As an aside, check out the more than three-year-old file footage of the SEC building in the video. It is of the old […]
By Securities Docket on December 18, 2008, 3:55 pm
The SEC today announced that it has charged seven individuals, including several Wall Street professionals, and two companies involved in an insider trading ring. The SEC alleges that Matthew Devlin, a former registered representative at Lehman Bros., traded on and tipped his clients and friends with confidential, nonpublic information about 13 impending corporate transactions. According […]
By Securities Docket on December 18, 2008, 2:42 pm
Read Chairman Cox’s Bio
By Securities Docket on December 18, 2008, 12:50 pm
Now that Pres.-elect Obama has formally named Mary Schapiro to head up the SEC, can we just agree on what her title is going to be? With Christopher Cox, it was simple. He was SEC Chairman. But “Chairman” sounds a bit illogical and inaccurate when applied to a woman, so what is the right title […]
By Securities Docket on December 18, 2008, 12:01 pm
The Securities and Exchange Commission Historical Society has some interesting materials in its collection about incoming SEC Chair Mary Schapiro. Please see the links below: November 2, 2005: In-depth interview (audio and transcript available). October 20, 2005: Enforcement Remedies program, in which she was a panelist along with Ralph Ferrara, Theodore Levine, William McLucas, and […]
By Securities Docket on December 18, 2008, 9:22 am
Thank you to Securities Docket’s fantastic readers, the attorneys and professionals handling high-stakes securities class actions, SEC enforcement and white collar matters at the world’s leading law firms and companies. Last week, our readers rang up the 100,000th page view on this site. In a period of just 100 days, Securities Docket has gone from […]
By Securities Docket on December 18, 2008, 8:55 am
Thank you to Securities Docket sponsors Citizens Bank, Administar Services Group LLC, and Alvarez & Marsal. Interested in becoming a Securities Docket sponsor? Click here. 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, […]