‘Enforcement 40’ for 2020
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By Securities Docket on August 20, 2012, 7:41 pm
Hedge fund founder Doug Whitman convicted of all charges in insider trading case.
By Securities Docket on August 20, 2012, 1:55 pm
The Dilution Of FCPA Enforcement Has Reached A New Level With The SEC’s Enforcement Action… http://t.co/VwNahLva # Insider trading language gets workout at NY trial — AP http://t.co/3Qs8sZoY # Ex-Dresdner Banker, Wife to Pay $2.5 Million to U.K. FSA – Bloomberg http://t.co/CX3FDCch # Securities Docket News Wire for 2012-08-19 http://t.co/JiFyktjs #
By Securities Docket on August 20, 2012, 1:49 pm
SEC brings books and records and internal controls enforcement action despite absence of any red flags.
By Securities Docket on August 20, 2012, 1:14 pm
Former Dresdner Kleinwort banker and his wife must pay 1.6 million pounds.