‘Enforcement 40’ for 2020
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By Securities Docket on January 29, 2009, 10:56 am
Malcolm Calvert, identified in the UK press as a “former high-flyer at Cazenove, the Queen’s bankers,” was today ordered to stand trial on insider trading charges. The UK’s FSA alleges that Calvert misused confidential information about a string of proposed management buyouts, takeovers and mergers to acquire a total of 425,500 shares in companies including […]
By Securities Docket on January 29, 2009, 7:57 am
After a nearly three month period without an IPO in the United States, three companies are slated to go public in the US the week of February 9. The three companies are: Mead Johnson, an Indiana-based maker of baby formula, that is being spun out of its parent company, Bristol-Myers Squibb Co. Mead Johnson […]
By Securities Docket on January 29, 2009, 7:18 am
South Korea’s Financial Supervisory Service is seeking what appears to be the equivalent of subpoena power in the US so that it can crack down on stock market crimes such as insider trading. The FSS specifically wants the authority to monitor the e-mail of suspicious traders and to check their phone call history, the Korea […]
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An archived version of today’s webcast (“FCPA Enforcement — The Paradigm Shift of 2008”), as well as the presenters’ slides are now available via this post.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 […]