By Securities Docket on December 7, 2011, 2:12 pm
The SEC may have been lucky to get what it did in the Citigroup settlement rejected by Judge Rakoff.
Posted in SEC | Tagged Settlements
By Securities Docket on December 7, 2011, 1:55 pm
Get caught up with the Securities Docket News Wire for Dec. 7, 2011.
Posted in News Wire | Tagged News Wire
By Securities Docket on December 7, 2011, 12:12 pm
Serious Fraud Office announces biggest alleged white-collar fraud in New Zealand history.
Posted in Criminal, Global, Top | Tagged Financial Fraud, New Zealand
By Securities Docket on December 7, 2011, 12:12 pm
SIPC says it has “fundamental disagreement” with SEC on Stanford coverage.
Posted in Industry, SEC | Tagged SIPC
By Securities Docket on December 7, 2011, 12:12 pm
Law firm follows $125 million settlement from Wells Fargo with $315 million deal with BofA’s Merrill Lynch.
Posted in Class Actions, Top | Tagged Mortgage-Backed Securities, Settlements
By Securities Docket on December 7, 2011, 12:12 pm
Senator calls on SEC to take legal action to compel SIPC to take action.
Posted in Industry, SEC, Top | Tagged SIPC, Stanford Financial
By Securities Docket on December 7, 2011, 12:12 pm
Members of House Financial Services Committee advocate new restrictions on insider trading.
Posted in Criminal, Industry, Top | Tagged Insider Trading, Legislation, US Congress
By Securities Docket on December 7, 2011, 12:12 pm
Judges note that defendant’s criminal behavior occurred at a time of mental disturbance.
Posted in Global, Top | Tagged Australia, Insider Trading, Sentencing