‘Enforcement 40’ for 2020
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By Securities Docket on April 29, 2009, 9:25 am
As promised by Russian officials back in February 2009, the Russian government recently introduced two pieces of legislation designed to strengthen Russia’s financial markets by prohibiting insider information for the first time. Crisis Crunch reports that on April 17, the State Duma, the lower chamber of the Russian Parliament, adopted the draft bill “On Counteracting […]
By Securities Docket on April 29, 2009, 9:16 am
Paul A. Reynolds has joined Solomon Ward Seidenwurm & Smith LLP as of counsel, the San Diego Source reports. Reynolds’ practice focuses on the areas of securities and business litigation. He was previously a partner with Shustak Frost & Partners, and also with DLA Piper.
By Securities Docket on April 29, 2009, 7:04 am
The SEC announced yesterday that it has charged a Tulsa, Oklahoma-based attorney, Matthew J. Browne, with insider trading. The SEC alleges that Browne sold all of the stock he owned in SemGroup Energy Partners, LP (SGLP), a local energy company, on the basis of confidential information that he learned while providing legal services to a […]
By Securities Docket on April 29, 2009, 6:45 am
The SEC’s Division of Enforcement plans to create teams that will focus on specific kinds of fraud. The WSJ reports that SEC Enforcement Director Robert Khuzami confirmed that the plans were discussed last week at a staff meeting but are not yet final. Presently, the Enforcement staff function as generalists, handling all types of cases. […]
By Securities Docket on April 28, 2009, 10:30 pm
Alan I. Baron has joined law firm Seyfarth Shaw as a partner in its Washington, D.C. office. The firm announced today that Baron has joined its Litigation Department. Baron was previously a partner at Holland & Knight LLP where he was Co-Chair of that firm’s Congressional Investigations Team. Baron concentrates his practice in white collar […]
By Securities Docket on April 28, 2009, 10:00 pm
SEC Files “Mortgage Meltdown” Cases Against American Home Mortgage Execs. http://bit.ly/E5lJi #sdx # Today’s Webcast (4/28): Materials Available Here for “Inside the SEC Enforcement Division:Important Changes Ahead” http://bit.ly/1a3Bvy #sdx # Fortis AGM in chaos as shareholders revolt, meeting suspended twice after shoes and coins thrown at Chairman. http://bit.ly/u8gwf #sdx # CBS News Video: Investigators Examining […]
By Securities Docket on April 28, 2009, 12:36 pm
The SEC announced today that it is has charged two former executives at American Home Mortgage Investment Corp. — CEO Michael Strauss and former CFO Stephen Hozie — with accounting fraud and making false and misleading disclosures to conceal the company’s worsening financial condition in early 2007 as the subprime crisis emerged. The SEC alleges […]
By Securities Docket on April 28, 2009, 12:21 pm
The presentation materials for today’s webcast (2 pm Eastern) entitled “Inside the SEC Enforcement Division: Current and Former SEC and DOJ Prosecutors Discuss Important Changes Ahead” are now available here.
By Securities Docket on April 28, 2009, 9:33 am
CBS News’ Armen Keteyian reports in this video that investigators are now looking at whether Joseph Cassano, the former head of London-based AIG Financial Products, and two of his top deputies, committed securities fraud and other federal crimes. The specific issue is reportedly whether the men “intentionally provided false information about the size of AIG’s […]
By Securities Docket on April 28, 2009, 7:15 am
Today, Tuesday, April 28, 2009, KPMG Forensic is sponsoring a webcast entitled “Inside the SEC Enforcement Division: Current and Former SEC and DOJ Prosecutors Discuss Important Changes Ahead” that will feature George Curtis, the Deputy Director of the SEC’s Division of Enforcement. Curtis, Pam Parizek of KPMG Forensic, and David Seide of the law firm Curtis, Mallet-Prevost, Colt & Mosle LLP will lead a discussion on the extraordinary challenges now posed to the financial markets and individual investors, the steps being taken by the SEC’s Division of Enforcement to address them, and the significant impact these changes will have now and in the future.