‘Enforcement 40’ for 2020
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By Securities Docket on June 2, 2009, 10:45 pm
Meredith E. Kotler has joined law firm Cleary Gottlieb Steen & Hamilton as a partner in the firm’s New York office. The firm announced yesterday that Kotler has joined its litigation and arbitration practice, where she will advise on commercial, securities and corporate governance litigation, as well as securities enforcement and appellate matters. From 1998 […]
By Securities Docket on June 2, 2009, 4:30 pm
Gary Aguirre, who claims he was fired as a lawyer at the SEC in 2005 because he pushed to interview John Mack, now the CEO of Morgan Stanley, as part of an investigation he was running regarding possible insider trading at Pequot Capital, is again claiming that the SEC is retaliating against him. Forbes reports […]
Posted in SEC
By Securities Docket on June 2, 2009, 2:32 pm
In a move that will presumably please Sen. Charles Schumer of New York, the SEC announced today that it has appointed George S. Canellos as Regional Director of the SEC’s New York Regional Office. Full details are available in this post on my Enforcement Action blog over at Compliance Week.
By Securities Docket on June 2, 2009, 12:48 pm
In the SEC Inspector General’s Semiannual Report to Congress released yesterday, the OIG states that it has opened an investigation into a complaint received from counsel for a defendant in an SEC Enforcement action, alleging numerous instances of misconduct by several Enforcement staff members during the course of the investigation that resulted in the filing […]
By Securities Docket on June 2, 2009, 12:29 pm
In the SEC Inspector General’s Semiannual Report to Congress released yesterday, H. David Kotz provided an update on his office’s (OIG) high-profile inquiry into why the SEC failed to uncover the Madoff Ponzi Scheme. He provided the following new information: Since January 2009, the OIG has ordered the production of the e-mails of at least […]
By Securities Docket on June 2, 2009, 10:51 am
Today, SEC Chairman Mary Schapiro testifies before the U.S. Senate Committee on Appropriations’ Subcommittee on Financial Services and General Government. A copy of her prepared testimony is available here. Key sections of her testimony are laid out below: »»REINVIGORATING SEC ENFORCEMENT *** Our Division of Enforcement has been working diligently. Since the end of January, […]
By Securities Docket on June 2, 2009, 6:55 am
SEC Wins Jury Verdict Against Former K Mart CEO Based On False MD&A; SEC Insp. Gen. Probes Allegations Of Misconduct in Mark Cuban Insider Trading Case; Securities class action lawyer Gene Cauley pleads guilty to fed. charges of stealing more than $9 mn of clients’ money; Former Enron Exec Could Get Home Confinement After Plea; SEC Inspector Cites Progress in Madoff Inquiry; and more.