By Securities Docket on February 3, 2012, 8:34 pm
Republican Sens. Richard Burr (N.C.), Tom Coburn (Okla.) and Democratic Sen. Jeff Bingaman (N.M.) vote against STOCK Act.
Posted in Criminal, SEC, Top | Tagged STOCK Act, US Congress
By Securities Docket on February 3, 2012, 3:51 pm
After 96-3 vote in Senate, House is expected to consider the Senate-passed STOCK Act next week.
Posted in Criminal, SEC, Top | Tagged STOCK Act, US Congress
By Securities Docket on February 3, 2012, 1:55 pm
Get caught up with the Securities Docket News Wire for Feb. 3, 2012.
Posted in News Wire | Tagged News Wire
By Securities Docket on February 3, 2012, 1:52 pm
Former chief risk officer at MF Global claims he was let go after ringing alarm bells about the firm’s exposure to European sovereign debt.
Posted in Industry, Top | Tagged Compliance
By Securities Docket on February 3, 2012, 1:44 pm
Former DOJ supervisor in the FCPA Unit joins Jones Day in Washington, DC.
Posted in Criminal, People, Top | Tagged FCPA, Lawyers, Prosecutors
By Securities Docket on February 3, 2012, 1:11 pm
James Davis testifies about deception.
Posted in Criminal, Top | Tagged Ponzis, Stanford, Trials
By Securities Docket on February 3, 2012, 12:18 am
Time Magazine gives its cover to Preet Bharara, the U.S. Attorney for the SDNY.
Posted in Criminal, Top | Tagged Insider Trading
By Securities Docket on February 3, 2012, 12:00 am
Facebook S-1 discloses SEC inquiry into secondary transactions involving the sale of company securities.
Posted in SEC, Top | Tagged Investigations