‘Enforcement 40’ for 2020
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By Securities Docket on April 24, 2009, 10:00 pm
Web Watch: Best Blog Posts and Columns For the Week Ending April 24. http://bit.ly/L7vua #sdx # Madoff CFO trying to negotiate plea deal in which he would divulge his knowledge of Madoff’s scheme. http://bit.ly/7fji7 #sdx # Investors with Bernard Madoff who had a net loss due to his fraud won’t be asked to return funds. […]
By Securities Docket on April 24, 2009, 4:24 pm
Here is the weekly summary for Securities Docket’s Web Watch (”This Week’s Best Blog Posts and Columns”): COMPLIANCE BUILDING (April 24, 2009): Failure to Conduct Diligence Can Lead to SEC Sanctions If you advertise that you have due diligence process, you had better follow that process. The SEC brought an administrative proceeding against an investment […]
By Securities Docket on April 24, 2009, 2:22 pm
On Tuesday, April 21, 2009, Michael MacPhail of Holland & Hart and Patrick Hunnius of White & Case discussed key issues emerging from the SEC’s Enforcement Division, and the impact of these issues on regulated entities and the lawyers who represent them. MacPhail and Hunnius are both former senior attorneys with the SEC’s Division of Enforcement. A complete summary of their presentations in the Securities Docket webcast entitled, “SEC Enforcement Update: A Wounded Animal is a Dangerous Animal,” is now available.
By Securities Docket on April 24, 2009, 9:42 am
On Wednesday, the Stuttgart Higher Regional Court rejected a lawsuit brought by shareholders seeking 6 million euros ($7.8 million) from Daimler AG for allegedly failing to disclose former Chief Executive Officer Juergen Schrempp’s 2005 decision to resign in a timely fashion. Bloomberg reports that the shareholders claimed that Schrempp decided in May 2005 to leave […]
By Securities Docket on April 24, 2009, 6:42 am
The state of California sued Wells Fargo yesterday alleging that the bank misled investors about the safety and liquidity of the auction-rate securities that it sold. DealBook reports that the lawsuit seeks $1.5 billion from Wells Fargo. In a statement yesterday, Attorney General Jerry Brown (pictured) said that “Wells Fargo’s affiliates promised investors auction-rate securities […]
By Securities Docket on April 24, 2009, 6:24 am
Thank you to Securities Docket website sponsors Alvarez & Marsal and BDO Consulting. Interested in becoming a Securities Docket sponsor? Click here. For 25 years, Alvarez & Marsal has set the standard for working with organizations to tackle complex issues, boost performance and maximize value for stakeholders. Alvarez & Marsal Dispute Analysis & Forensic Services […]