‘Enforcement 40’ for 2020
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By Securities Docket on February 9, 2009, 11:59 pm
Securities class action filed against Rigel Pharmaceuticals in the US District Court for the N. District of California. http://is.gd/iWFD # Report: SEC Enforcement Chief Thomsen to Resign Monday. http://is.gd/iVBA # WSJ: Robert Khuzami Has Accepted SEC Enforcement Director Position, Announcement Coming Soon. http://is.gd/iTN3 # Japan: Fund Manager Convicted of Insider Trading, but Prison Sentence Suspended. […]
By Securities Docket on February 9, 2009, 10:20 pm
On February 17, 2009, Securities Docket is sponsoring a webcast that will look at the numerous ways that securities and compliance counsel and professionals can now use New Media to promote, market, and network themselves, their practices and their firms as never before. Please join Doug Cornelius, Chief Compliance Officer of Beacon Capital Partners, and […]
By Securities Docket on February 9, 2009, 2:37 pm
The SEC announced today that Linda Chatman Thomsen, Director of the Division of Enforcement, will leave the SEC to return to the private sector. Thomsen has served as Director since 2005, when she was appointed by Chairman Donaldson, and has been with the SEC’s Enforcement Division since 1995. SEC Chairman Mary L. Schapiro stated that […]
By Securities Docket on February 9, 2009, 2:12 pm
I don’t know at what point I became the Lorax, speaking for the SEC. I certainly didn’t set out to be the Lorax, and have been critical of the SEC through the years and recently where I thought it was appropriate. But with the recent extreme attacks on the SEC, someone needs to grow the walrus mustache and speak up.
By Securities Docket on February 9, 2009, 12:05 pm
CNBC is reporting that Linda Thomsen, Director of the SEC’s Division of Enforcement, will resign early this afternoon. As previously discussed here, former federal prosecutor Robert Khuzami is expected to replace Thomsen at the SEC.
By Securities Docket on February 9, 2009, 6:43 am
The Tokyo High Court convicted Yoshiaki Murakami (pictured), a well known Japanese fund manager, of insider trading last week, but overturned a lower court ruling that would have sent him to prison. Judge Hiroshi Kadono imposed a 3 million yen ($33,400) fine and additional penalties of 1.15 billion yen ($12.82 million) on Murakami, the former […]
By Securities Docket on February 9, 2009, 6:29 am
Robert Khuzami, former chief of the securities fraud unit at the U.S. attorney’s office in Manhattan, is expected to be named the new head of the SEC’s Enforcement Division as soon as this week, a person familiar with the matter tells the WSJ. The WSJ reports that Khuzami, currently a senior lawyer at Deutsche Bank […]