‘Enforcement 40’ for 2020
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By Securities Docket on January 28, 2009, 11:20 pm
The SEC announced on Wednesday that the Supreme Court of Judicature Court of Appeal in the United Kingdom dismissed the appeal of Glenn Manterfield, a UK citizen, of an order by a British court freezing Manterfield’s assets. The High Court of Justice in London had previously issued the order freezing assets held in the United […]
By Securities Docket on January 28, 2009, 5:09 pm
Jabil Circuit (JBL) announced yesterday that on Monday, the U.S. District Court for the Middle District of Florida, Tampa Division dismissed with prejudice the securities class action that was previously filed against Jabil, KPMG LLP, and Jabil’s directors and certain of its current and former officers. The company stated that the litigation initially arose as […]
By Securities Docket on January 28, 2009, 3:25 pm
An archived version of today’s webcast (“FCPA Enforcement — The Paradigm Shift of 2008”), as well as the presenters’ slides are now available via this post.
By Securities Docket on January 28, 2009, 1:23 pm
The slides that will be used in today’s webcast (“FCPA Enforcement — The Paradigm Shift of 2008”) are now available and can be obtained at the link in this post.
By Securities Docket on January 28, 2009, 12:36 pm
There was a great article in Time yesterday by Robert Chew entitled, “Can Mary Schapiro Revitalize the SEC?,” and we’re not (admitting to) saying that just because it referenced Securities Docket and quoted editor Bruce Carton at length.
By Securities Docket on January 28, 2009, 8:11 am
A former AIG executive, Christian M. Milton, was sentenced yesterday to four years in prison and fined $200,000 for his role in a fraud scheme involving AIG and General Re. Corp. This follows the sentencing on December 16 of Ronald Ferguson (previously discussed here), the former CEO of General Re Corp., to two years in […]
By Securities Docket on January 28, 2009, 7:59 am
Black Box Corp. disclosed yesterday in a Form 8-K filed with the SEC that on Monday, January 26, 2009, it received a Wells Notice from the SEC. The Wells Notice advised Black Box that the SEC’s enforcement staff intends to recommend that the Commission authorize it to file a lawsuit against Black Box relating to […]
By Securities Docket on January 28, 2009, 7:29 am
As I noted here in my running account of the Senate Banking Committee hearing in the Madoff case, Sen. Chuck Schumer made a brief comment yesterday about physically moving the staff of the SEC’s Office of Compliance, Inspections and Examinations from Washington, DC to New York that is worth keeping an eye on. As further […]
By Securities Docket on January 28, 2009, 7:18 am
Via the wrageblog we came across the following quite interesting post entitled “FCPA Enforcement: Top Ten Trends for 2009.” The list comes from the DOJ’s Mark Mendelsohn at an anti-corruption conference in Frankfurt yesterday that included speakers from the DOJ, SEC, and prosecutors from Germany, the United Kingdom, Jersey and Switzerland. The Top Ten Trends […]
By Securities Docket on January 28, 2009, 7:07 am
Yesterday, Spain’s Banco Santander became the first institution to offer to repay victims in the alleged Madoff fraud, as it attempted to avoid lawsuits. FT reports that Santander offered to “pay back 100 per cent of the investments made in the Optimal Strategic US Equity fund, which was wholly invested with Mr Madoff, to individual […]