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Securities Docket News Wire for 2012-07-31

By on July 31, 2012, 1:55 pm

Early-Bird Registration Ends Today for Securities Enforcement Forum 2012 http://t.co/9tCcELHm # Heavier SEC fines unlikely to dent fraud – InvestmentNews http://t.co/pqz4QYUN # More than tiger mom, I had a tiger dad: Preet Bharara to NDTV | http://t.co/QvgtEOEW http://t.co/xY9eCLSW # The Evolving Contours of Insider Trading – http://t.co/0q5BCkt2 http://t.co/Vd8135kE # Get ready for plaintiffs' lawyer brawl […]

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Early-Bird Registration Ends Today for Securities Enforcement Forum 2012

Early-Bird Registration Ends Today for Securities Enforcement Forum 2012

By on July 31, 2012, 1:08 pm

Please join us for Securities Enforcement Forum 2012, October 18, 2012 in Washington, D.C.!

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Heavier SEC fines unlikely to dent fraud

By on July 31, 2012, 1:01 pm

The bill introduced by Sen. Jack Reed, D-R.I., and Sen. Charles Grassley, R-Iowa, that would give the SEC the power to levy heavier penalties for violating securities law is a step in the right direction. But the legislation is unlikely to substantially deter fraud in the financial services industry, because — like most criminals — […]

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Securities Docket News Wire for 2012-07-30

By on July 30, 2012, 1:55 pm

Sarbanes-Oxley Law’s Big Weapon Sits Idle – http://t.co/IhHDz4Vp http://t.co/zmY5yAuD # Bill would dramatically jack up SEC fines on securities firms – InvestmentNews http://t.co/5iDBZQNl # Prison Sentences in UK Print Room Case Punctuate ‘Milestone’ Prosecution for FSA – Compliance… http://t.co/rNU4Y0Yu # Securities Docket News Wire for 2012-07-29 http://t.co/1Wfl8iAU #

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Sarbanes-Oxley Law’s Big Weapon Sits Idle

By on July 30, 2012, 12:50 pm

As the Sarbanes-Oxley Act turns 10 years old, the law’s biggest hammer—the threat of jail time for corporate executives who knowingly certify inaccurate financial reports—is going largely unused. After the financial crisis, the certification rules seemed like a strong weapon against executives suspected of misleading investors. But prosecutors haven’t brought any criminal cases for false […]

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Bill would dramatically jack up SEC fines on securities firms

By on July 30, 2012, 12:38 pm

The law would allow the SEC to levy fines of up to $1 million per securities violation on individuals and up to $10 million per violation on financial firms. Under current law, SEC civil penalties are capped at $150,000 per offense for individuals and $725,000 per offense for firms. via Bill would dramatically jack up […]

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Prison Sentences in UK Print Room Case Punctuate 'Milestone' Prosecution for FSA

Prison Sentences in UK Print Room Case Punctuate ‘Milestone’ Prosecution for FSA

By on July 29, 2012, 2:38 pm

UK court hands down sentences the longest and most complex insider trading case the FSA has pursued to date.

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Securities Docket News Wire for 2012-07-29

By on July 29, 2012, 1:55 pm

City Of Miami Cheated Investors, According To SEC Investigation Recommending Civil Fraud Charges http://t.co/FFJ9qebK # Securities Docket News Wire for 2012-07-28 http://t.co/1dKq3RcD #

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Securities Docket News Wire for 2012-07-28

By on July 28, 2012, 1:55 pm

Securities Docket News Wire for 2012-07-27 http://t.co/ggf4bJli #

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Securities Docket News Wire for 2012-07-27

By on July 27, 2012, 1:55 pm

SEC, Department of Justice investigating S&P ratings agency – http://t.co/G8NCSiuP http://t.co/7u2ine3q # Lead counsel contests take shape in Facebook, JPMorgan cases http://t.co/buVcVLe5 # Madoff Trustee Wants Victims to Get More Money – http://t.co/0q5BCkt2 http://t.co/wUSY5ctG # UK: Six jailed for insider trading – http://t.co/4gOwsNy4 http://t.co/7GUmYz8N # Securities Docket News Wire for 2012-07-26 http://t.co/vPNQ1HPK #

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