‘Enforcement 40’ for 2020
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By Securities Docket on July 16, 2009, 10:50 pm
One week after receiving Senator Bob Bennett of Utah’s letter urging the SEC to expand its ongoing “pay-to-play” investigation to include practices related to securities class actions, SEC Chairman Mary Schapiro wrote back on Tuesday, July 14 with the SEC’s response: No can do.
By Securities Docket on July 16, 2009, 2:48 pm
Fox Business reports that the SEC has submitted to Congress a “wish list” of 42 changes it would like made to the federal securities law. FOX Business reports that the SEC’s proposals “likely wouldn’t be brought up as legislation on their own, but could possibly be attached to a larger bill at some point.” The […]
By Securities Docket on July 16, 2009, 2:12 pm
The members of a group called the Stanford Victims Coalition have taken out a full-page ad in The Wall Street Journal with an “Open Letter to US President Barack Obama.” In the letter, the Coalition says that they are “the victims of what has been alleged to be one of the most fraudulent, politically corrupt, and […]
By Securities Docket on July 16, 2009, 1:08 pm
David J. Onorato has joined law firm Freshfields Bruckhaus Deringer LLP as a partner in its New York office. The firm announced today that Onorato has joined its United States litigation practice group, focusing on matters involving securities and complex financial products. Onorato also will work with the firm’s global white-collar and investigations team. Previously, […]
By Securities Docket on July 16, 2009, 12:16 pm
In this FOX Business video, prison consultant Herb Hoelter, CEO of the National Center for Institutions and Alternatives, discusses how he prepared Bernie Madoff (whom he labels a “decent,” “remorseful,” and “humble” person) for 150 years in prison. Watch the latest business video at FOXBusiness.com
By Securities Docket on July 16, 2009, 9:51 am
The DOJ’s use of deferred prosecution agreements in white collar criminal matters has continued under the Obama administration, and many more such agreements may be coming in the months ahead. Dow Jones Newswires reports that the DOJ has entered into 10 of these agreements through June 2009, slightly ahead of the pace from 2008. Gibson […]
By Securities Docket on July 16, 2009, 6:55 am
Ex-Fund Manager Samuel Israel III Has 2 Years Added to Sentence for Fleeing; Madoff ex-accountant Friehling takes step toward resolving case; Australia: Investigation of possible insider trading in Alliance Resources shares before govt. approved uranium mine. US to unveil hedge fund legislation; SEC Charges 11 Individuals for Insider Trading Ahead of Merger Announcements; Calpers Sues Three Leading Credit Agencies Claiming Losses Caused by “Wildly Inaccurate” Ratings; SEC Issues Wells Notice to Morgan Keegan & Co.; Victims of Stanford fraud to be heard; and more.