Subscribe
‘Enforcement 40’ for 2020
Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedInSecurities Docket News Wire for April 30, 2009
SEC Brings Massive Insider Trading Case Aginst Former Citigroup Investment Banker, His Brother and Six Others. http://bit.ly/Y4aJB #sdx # SEC Probes Schering Trades Before Merck Deal. http://bit.ly/18eHGU #sdx # Ex-Citigroup Banker Sued by SEC for Insider Trading. http://bit.ly/A6TgO #sdx # SEC’s Office of Risk Assessment Looks to Ramp Up With “Seasoned Financial Experts.” http://bit.ly/X5aU9 #sdx […]
SEC Brings Massive Insider Trading Case Against Former Citigroup Investment Banker, His Brother and Six Others
The SEC announced a massive insider trading case today against Maher Kara, a former Citigroup investment banker, his brother, and six other individuals. The SEC alleges that Maher Kara repeatedly tipped his brother about upcoming merger deals in a scheme that involved numerous friends and family and resulted in more than $6 million in illicit profits. […]
SEC’s Office of Risk Assessment Looks to Ramp Up With “Seasoned Financial Experts”
The SEC’s seemingly “on again, off again” risk assessment efforts are back in the spotlight, as the SEC announced today that it is embarking on a new effort to attract industry professionals to the Office of Risk Assessment. The SEC announced a new “Industry and Markets Fellows Program” intended to help it “oversee complex industry […]
SEC Charges Investment Management Firm and Principal in Alleged N.Y. Kickback Scheme
The SEC announced today that it has charged Aldus Equity Partners, L.P. and one of its founding principals, Saul Meyer, in connection with a multi-million dollar kickback scheme involving the New York State Common Retirement Fund. James Clarkson, Acting Director of the SEC’s New York Regional Office stated that “as alleged in our complaint, Aldus […]