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By Securities Docket on February 4, 2009, 11:59 pm
SEC’s Schapiro Sends Follow-Up Letter to Congress After House Hearing. http://is.gd/ircx # Fox News Video: Securities Docket Editor Bruce Carton Discusses Today’s Madoff Hearing. http://is.gd/ipCT # Australia: Queensland Gas Exec Pleads Guilty to Insider Trading. http://is.gd/il8Y # Report: SEC’s Schapiro Talking to Candidates for Director of Enforcement Position. http://is.gd/il3E # Markopolis to Testify Before House […]
By Securities Docket on February 4, 2009, 11:10 pm
Thank you to Securities Docket website 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 […]
By Securities Docket on February 4, 2009, 11:08 pm
Lewis Clifton, a top Falkland Islands politician, and his shipping firm were today fined nearly £150,000 for insider trading by the UK’s Financial Services Authority. The Evening Standard reports that Clifton was fined £59,500 for dealing in the shares of AIM-listed oil explorer Desire Petroleum, where he was a non-executive director and founder. Falklands shipping […]
By Securities Docket on February 4, 2009, 10:03 pm
Assistant United States Attorney David Siegal has joined law firm Haynes and Boone as a partner in the firm’s New York office. The firm announced today that Siegel has joined its White Collar Criminal Defense Practice Group, where his practice will focus on white collar defense and securities fraud litigation. Siegal has served for the […]
By Securities Docket on February 4, 2009, 5:21 pm
Securities Docket editor Bruce Carton appeared on Fox News today to discuss the explosive House Financial Services Committee hearing featuring Harry Markopolos. The full video is available in this post.
By Securities Docket on February 4, 2009, 9:44 am
Today’s House Financial Services Committee hearing (”Assessing the Madoff Ponzi Scheme and Regulatory Failures“) is underway. The hearing can be viewed live on the web and the SEC’s joint testimony is available here, as well.
By Securities Docket on February 4, 2009, 7:20 am
In an odd stroke of irony, the WSJ reports that perhaps the most secure job on Wall Street right now is at Lehman Brothers, where hundreds of people will be needed for several years to unwind the company.
By Securities Docket on February 4, 2009, 7:10 am
In Australia, Mukesh Panchal, the former company secretary at Queensland Gas Company Ltd, has pleaded guilty to insider trading. The Business Spectator reports that Panchal bought shares in QGC while in possession of inside information about an alliance with British giant, BG Group plc. The Australian Securities and Investment Commission alleges that Panchal allegedly bought […]
By Securities Docket on February 4, 2009, 6:50 am
SEC Chairman Mary Schapiro is expected to take several steps very quickly with respect to the SEC’s Division of Enforcement. The Washington Post reports that Schapiro has already begun talking to potential candidates to take over the position of Director of Enforcement. Although current Director Linda Thomsen is viewed positively, the article states that “associates […]
By Securities Docket on February 4, 2009, 12:36 am
As previously discussed here, five top SEC officials, including Director of Enforcement Linda Thomsen and Director of the Office of Compliance, Inspections and Examinations Lori Richards are slated to testify at the Wednesday, Feb. 4 House Financial Services Committee hearing (”Assessing the Madoff Ponzi Scheme and Regulatory Failures“). Joining them will be Harry Markopolos, an […]