Daily Archives: January 19, 2009, 11:59 pm

Securities Docket News Wire for Jan. 19, 2009

Madoff front-man Robert Jaffe took 1-2% of investors’ first profits in return for providing access to exclusive “club.” http://is.gd/gtZx # SEC Chief of Staff Peter Uhlmann Departing Commission. http://is.gd/gtMs # Ruling in Aon Securities Case Helps Protects Drafts of SEC Filings from Discovery. http://is.gd/gtn3 # Mark Cuban Tells SEC How to Get to Bottom of Madoff Case. http://is.gd/grYj #

Read More

Ruling in Aon Securities Case Helps Protects Drafts of SEC Filings from Discovery

A recent ruling in the Aon securities class action provides important protection from discovery for companies’ drafts of Form 10-K language.  In an order dated January 9, 2009, Magistrate Judge Morton Denlow of the US District Court for the Northern District of Illinois ruled that Aon was not required to produce an email seeking comments on draft disclosure language for…

Read More

SEC Chief of Staff Peter Uhlmann Departing Commission

The SEC announced today that Peter M. Uhlmann, Chief of Staff of the SEC, will be stepping down from his current position. Uhlmann joined the Chairman’s office in 2005 and is one of the longest-serving Chiefs of Staff in the agency’s 75-year history, the SEC announced. In his role as Chief of Staff, Uhlmann was centrally involved with the development…

Read More