By Amanda Harding on March 3, 2010, 4:20 pm
George Soros will reportedly now appeal to European Court of Human Rights.
Posted in Criminal, Global | Tagged Appellate, France, Insider Trading
By Amanda Harding on March 3, 2010, 3:53 pm
Judge Rakoff cites absolute immunity of NASD in its regulatory function.
Posted in Industry | Tagged Dismissals, FINRA, Regulation
By Amanda Harding on March 3, 2010, 3:46 pm
IOSCO sets forth new required disclosures for hedge fund regulators to enforce.
Posted in Global | Tagged Hedge Funds, Regulation
By Amanda Harding on March 3, 2010, 3:39 pm
Myron Olesnyckyj sentenced to one year of probation in backdating case.
Posted in Criminal | Tagged Options Backdating, Sentencing |
By Amanda Harding on March 3, 2010, 3:36 pm
BAE pleads guilty to conspiracy to defraud and to making false statements.
Posted in Criminal | Tagged FCPA, Guilty Pleas, Settlements
By Securities Docket on March 3, 2010, 11:01 am
NY office will add significantly to enforcement and examinations units.
Posted in SEC | Tagged Funding, Regulators
By Amanda Harding on March 3, 2010, 7:42 am
Panel hears oral arguments regarding insurance coverage of defense costs.
Posted in Criminal | Tagged Fees, Stanford Financial
By Securities Docket on March 3, 2010, 6:55 am
Get caught up with the Securities Docket A.M. News Wire for Mar. 3, 2010.
Posted in News Wire | Tagged News Wire