‘Enforcement 40’ for 2020
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By Securities Docket on May 4, 2009, 10:00 pm
Fox Business News Video: Harvey Pitt Weighs In on Recent Changes at the SEC’s Enforcement Division. http://bit.ly/C86pg #sdx # Chrysler Hedge Funds Getting Death Threats. http://bit.ly/qjsOp # Madoff-related cases responsible for 30% of all securities cases in the first quarter. http://bit.ly/9NTWt # SEC “Lawyering Down” http://bit.ly/Xoycb # SEC Opposes Stanford’s Motion to Unfreeze $10 Million […]
By Securities Docket on May 4, 2009, 6:11 pm
Fox Business News interviews Harvey Pitt on recent changes at the SEC’s Division of Enforcement, including its new specialization initiative.
By Securities Docket on May 4, 2009, 5:52 pm
You’ve heard of “lawyering up?” Well, the SEC appears to be on a mission to do the opposite. Let’s call it “lawyering down.” Get the full details in this post on my Enforcement Action blog over at Compliance Week. .
By Securities Docket on May 4, 2009, 4:11 pm
In late April, following the SEC successfully obtaining a Preliminary Injunction freezing his assets, R. Allen Stanford’s moved to modify the Preliminary Injunction Order to permit him access to $10 million of the frozen funds to pay attorneys’ fees. Today the SEC filed an Opposition to that motion, arguing that Stanford is not entitled […]
By Securities Docket on May 4, 2009, 6:51 am
In Hong Kong, the insider trading trial of former Morgan Stanley managing director Du Jun has begun in the district court. Du faces up to seven years in prison, the maximum that may be given out at the district court level, The Standard reports. As previously discussed here, former BNP Paribas Peregrine Capital banker Ma […]
By Securities Docket on May 4, 2009, 6:39 am
In Australia, financial services companies are facing higher directors and officers (D&O) insurance costs as the number of securities class actions rise. The Financial Standard reports that according to Richard Head, a senior executive at D&O insurance provider, Liberty International Underwriters, “the landscape has changed from the occasional shareholder class action only five years ago […]
By Securities Docket on May 4, 2009, 6:16 am
As Washington continues working to stem the tide of our Wall Street woes, it will soon turn to legislation aimed at the most sophisticated segment of the asset management world: the hedge fund community. Thanks to Bernie Madoff, Marc Dreier and other pretenders, it may now also be the most suspect and misunderstood. What will […]