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By Securities Docket on May 31, 2009, 6:55 am
Can Connecticut Stay Hedge-Fund Haven? http://bit.ly/ANPln # Arkansas securities class action lawyer Gene Cauley on verge of pleading guilty to two felonies. http://bit.ly/QK7Wy #
By Securities Docket on May 30, 2009, 6:55 am
Judge OKs class action settlement with 2 ex-Qwest executives. http://bit.ly/GeATy # Web Watch: Best Blog Posts and Columns For the Week Ending May 29. http://bit.ly/1wgtE # SEC Files Case Alleging Illegal Payments to Agents in Egypt. http://bit.ly/wznzv # UK: FSA’s enforcement division has grown to 343 people, up from just 200 in 2005. http://bit.ly/2lJtpl # […]
By Securities Docket on May 29, 2009, 5:41 pm
Here is the weekly summary for Securities Docket’s Web Watch (”This Week’s Best Blog Posts and Columns”): HARVARD LAW SCHOOL FORUM ON CORP GOV (May 29, 2009): Institutional Monitoring Through Shareholder Litigation Paper finding that securities class actions with institutional owners as lead plaintiffs are less likely to be dismissed and have larger monetary settlements […]
By Securities Docket on May 29, 2009, 1:45 pm
Down under, Merrill Lynch and one of its subsidiaries face allegations from a Sydney businessman that they engaged in what would reportedly be “the biggest case of insider trading in [Australia’s] corporate history.” Full details are available in this post on my Enforcement Action blog over at Compliance Week.
By Securities Docket on May 29, 2009, 11:26 am
A copy of Mark Cuban’s Complaint for Declaratory and Injunctive Relief filed yesterday against the SEC and seeking the production of numerous documents under FOIA is available here. As an aside, the case has been assigned to Judge Reggie B. Walton, who, as I have noted before, you really don’t want to mess with! Read […]
By Securities Docket on May 29, 2009, 9:55 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 […]
By Securities Docket on May 29, 2009, 6:55 am
Conrad Black applies to Supreme Court for bail; FSA’s Cole Targets Insider-Trading; Mark Cuban Files His Own Lawsuit Against SEC Seeking Order to Produce Documents; Pequot Insider Trading Investigation Leads to Demise of Firm; and more.
By Securities Docket on May 28, 2009, 5:56 pm
In the latest development in Mark Cuban’s ongoing battle with the SEC, Cuban has reportedly filed his own lawsuit against the agency alleging that it is unlawfully withholding documents about its insider trading probe of him. Bloomberg reports that Cuban’s complaint filed today in federal court in D.C. seeks a court order to force the […]
By Securities Docket on May 28, 2009, 4:49 pm
Certain trades that occurred at Pequot Capital Management in 2001 in advance of General Electric’s acquisition of Heller Financial have now reportedly led, after nine investigations, to the demise of Pequot Capital itself. Full details are available in this post on my Enforcement Action blog over at Compliance Week.
By Securities Docket on May 28, 2009, 2:51 pm
U.S. Attorney for the District of Columbia Jeffrey Taylor will join Ernst & Young as the Americas leader of the Fraud Investigation & Dispute Services area, the Blog of the Legal Times reports. Taylor announced his resignation today, effective tomorrow, and will reportedly join Ernst & Young’s Washington, D.C. office next month. Read the Blog […]