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Join the Securities Litigation and Enforcement Group on LinkedInSEC Charges Former Consultant at Silicon Valley Private Investment Firm with Insider Trading
The SEC alleges that Mark Duffell bought shares of Silicon Valley software company SumTotal Systems while he was involved in discussions on AKKRs behalf regarding a potential acquisition of SumTotal. Without admitting or denying the allegations, Duffell has agreed to settle the charges against him and pay disgorgement and penalties of over $300,000. SEC Charges […]
Back In My Day, the SEC was the Plaintiff! – Compliance Week
As I joked last week upon hearing that former Goldman Sachs board member Rajat Gupta sued the SEC on March 18 for bringing its case against him as an administrative procedding rather than in federal court, “Back in my day the SEC was the plaintiff!” But that’s not always true these days. Back In My […]
Stanford drops $7.2 bln suit vs. DoJ, SEC lawyers
Allen Stanford, the Texas financier accused of running a massive Ponzi scheme, has dropped his $7.2 billion lawsuit accusing government lawyers of engaging in abuse in pursuing their cases against him. Stanford drops $7.2 bln suit vs. DoJ, SEC lawyers, Reuters
Anne Small Joining SEC as Deputy General Counsel for Litigation and Adjudication
Small will serve as Deputy General Counsel for Litigation and Adjudication, and will help oversee enforcement matters, appellate cases, and adjudications. She joins the SEC from the law firm WilmerHale LLP, where she was a partner in the firm’s litigation department in New York. Anne Small Joining SEC as Deputy General Counsel for Litigation and […]
How Rajaratnam can win: A network of experts
The defense will likely call upon forensic accountants or economists to show that any alleged inside information was already in the public domain, that the so-called tips were baked into the stock price before Rajaratnam made his trades, and that Rajaratnam didn’t enjoy any outsized benefit from making the trades when he did. Dowd’s witnesses […]
Ex-conman Minkow accused of securities fraud – latimes.com
Federal prosecutors in Florida accused Minkow of releasing false information about Miami-based Lennar Corp. on the Internet and by email in early 2009 to decrease the company’s stock price and compel Lennar to make cash payment to another conspirator. Ex-conman Minkow accused of securities fraud – latimes.com, AP
Anne Small Joining SEC as Deputy General Counsel for Litigation and Adjudication
Former WilmerHale partner will help oversee enforcement matters, appellate cases, and adjudications
April 5 Webcast: The SEC’s Asset Management Unit and Strategies for Avoiding Trouble in 2011 and Beyond
Please join Bruce Karpati, John Reed Stark and Bradley J. Bondi for this free webcast.
Securities Docket News Wire for March 24, 2011
Get caught up with the Securities Docket News Wire for March 24, 2011.