‘Enforcement 40’ for 2020
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By Securities Docket on June 8, 2009, 5:22 pm
The Obama administration has reportedly decided to keep the SEC and the CFTC as separate agencies, shelving a plan to combine the two that has been debated for months. CNNMoney reports that combining them could have created a power struggle between their congressional overseers, pitting farm state lawmakers who speak the language of pork bellies […]
By Securities Docket on June 8, 2009, 5:10 pm
Collateralized Debt Obligations (CDOs) have been the focus of much attention and ire in the wake of the credit crisis. But litigation over these structured financial products has been largely overshadowed by more high profile actions, such as subprime class actions and Ponzi scheme litigation. That could change in the coming months as a number […]
By Securities Docket on June 8, 2009, 4:54 pm
Steven Engel has joined Dechert as a partner in its Washington, D.C. office. The firm announced today that Engel has joined its white collar and securities litigation group. Engel most recently served as Deputy Assistant Attorney General with the DOJ’s Office of Legal Counsel in Washington, D.C. Engel also previously served as a law clerk […]
By Securities Docket on June 8, 2009, 4:43 pm
An article Saturday about a case pending in federal court down in Tampa brings to the fore one of my favorite types of public companies: the treasure hunters. And to make it even better, this case has a bonus insider trading action attached to it.
By Securities Docket on June 8, 2009, 11:59 am
This PBS FRONTLINE video entitled “Black Money” appears to have been out since April 7, 2009, but we just came across it. In the video, FRONTLINE correspondent Lowell Bergman investigates this shadowy side of international business, shedding light on multinational companies that have routinely made secret payments — often referred to as “black money” — […]
Posted in Criminal
By Securities Docket on June 8, 2009, 11:45 am
“Record performance” is all relative, of course, but the Guardian reports that the number of fines and bans handed out by the UK’s Financial Services Authority “is on course for a record this year” under its new “get tough” approach. The other side of this coin, of course, is that it does not take a […]
By Securities Docket on June 8, 2009, 10:54 am
“If a tree falls in a forest and no one is around to hear it, does it make a sound?” That question has proven to be unanswerable, so let me restate it Securities Docket-style with one that does have an answer: Q: If the SEC announces what should be a high-profile insider trading case on […]
By Securities Docket on June 8, 2009, 6:55 am
IPO Caution Still Outweighs Optimism; Madoff Victims Seek Greater Compensation From Trustee; France: EADS Insider-Trading Investigation May Be Easing, Lawyers Say;Government Broadens Allen Stanford Investigation; and more.