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By Securities Docket on June 5, 2009, 5:28 pm
Here is the weekly summary for Securities Docket’s Web Watch (”This Week’s Best Blog Posts and Columns”): THE D&O DIARY (June 5, 2009): What Does The SEC’s Enforcement Action Against Countrywide’s Mozilo Signify? The more interesting question is the extent to which the SEC will be targeting other officials, whether for Rule 10b5-1 plan abuses […]
By Securities Docket on June 5, 2009, 4:53 pm
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 June 5, 2009, 4:22 pm
I am back from three days spent in Washington, D.C. for Compliance Week 2009, that publication’s annual conference dedicated to corporate financial, legal, risk, audit and compliance executives at public companies. I have been at the conference twice before, but I believe this year’s was the best to date, for many reasons. Full details on […]
By Securities Docket on June 5, 2009, 1:12 pm
Fox Business News analyst Judge Andrew Napolitano expresses his surprise that former Countrwide CEO Angelo Mozilo was not the subject of a criminal indictment first, but rather a civil case brought by the SEC.
By Securities Docket on June 5, 2009, 6:55 am
Mozilo Saw Countrywide ‘Flying Blind,’ Dumped Stock, SEC Claims; SEC expands probe of possible insider trading at Restoration Hardware; Belgium looks into suspected Fortis insider trade; Hedge funds may quit UK over draft EU laws; and more.
By Securities Docket on June 5, 2009, 6:32 am
Highly-publicized fraud schemes, the change in presidential administration, and the biggest economic downturn in recent history have brought scrutiny on both the SEC and the DOJ and prompted potential changes to both their structures and enforcement priorities. New SEC Chairwoman Mary Shapiro has obtained budget increases and outlined plans to increase the effectiveness of enforcement. […]