‘Enforcement 40’ for 2020
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By Securities Docket on April 15, 2009, 10:00 pm
Germany: BaFin Deepens Insider Trading Investigation Related to Premiere AG Securities. http://bit.ly/3nP1lo #sdx # Lehman Bros. Bankruptcy Legal Bill Now Over $84 Million and Counting. http://bit.ly/3Anyu8 #sdx # SEC’s Schapiro: “Intense Review” of Rating Agencies Needed. http://bit.ly/md3y #sdx # Three Excellent Upcoming Webcasts on SEC Enforcement Issues. http://bit.ly/1LPxgL #sdx # UK: High Court Ruling Not […]
By Securities Docket on April 15, 2009, 3:17 pm
BaFin, Germany’s financial services regulator, anounced today that it has deepened its investigation into possible insider trading in shares of Premiere AG. The WSJ reports that the BaFin investigation relates to an October 2, 2008 press release from Premiere AG release in which it announced that it expected a 2008 operating loss and restated its […]
By Securities Docket on April 15, 2009, 11:04 am
Over the next three weeks, Securities Docket has three outstanding webcasts lined up on different aspects of SEC Enforcement. The webcasts will feature current and former leaders of the SEC’s Enforcement efforts, as well as the DOJ, who will examine the extraordinary changes afoot at the SEC and the impact they are already having and will have on corporations, hedge funds, attorneys, “gatekeepers,” and others in the U.S. and worldwide.
By Securities Docket on April 15, 2009, 9:19 am
Last week in the UK, Sir Andrew Morritt, the chancellor of the High Court, issued a ruling that appears to undercut recent recommendations that “group litigation” be promoted in the UK. TheLawyer.com reports that in December 2008, the Civil Justice Council recommended that the group litigation model (GLO) be reformed in England and Wales to […]
By Securities Docket on April 15, 2009, 7:02 am
Of the eight general counsels pursued by the SEC or prosecutors for alleged improper stock options backdating, four are still fighting charges, three have settled or pleaded guilty and one was acquitted, NLJ reports. The lone acquittal to date has been Kent Roberts, the former general counsel for McAfee Inc., who was acquitted of criminal […]
By Securities Docket on April 15, 2009, 6:41 am
In Australia, Mukesh Panchal, the former CFO of Queensland Gas Company, pleaded guilty to four criminal charges of inside trading. The Brisbane Times reports that Panchal bought 418,148 shares in QGC at a price of $1.3 million while knowing that an important alliance with British Gas to produce and market liquefied natural gas was about […]