‘Enforcement 40’ for 2020
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By Securities Docket on January 9, 2013, 5:26 pm
Judge Rakoff praises Khuzami for restoring “a sense of pride and purpose to the SEC enforcement division.”
Posted in SEC, Top | Tagged Lawyers, Regulators
By Securities Docket on January 9, 2013, 10:44 am
Supreme Court voices skepticism over bid by SEC to relax time limits for seeking civil penalties in fraud cases.
Posted in SEC, Top | Tagged Appellate, Statute of Limitations, Supreme Court
By Securities Docket on January 9, 2013, 10:42 am
A former analyst at SAC Capital Advisors, the hedge fund owned by the billionaire investor Steven A. Cohen, has given federal agents the names of about 20 people he said had engaged in insider trading, according to a court filing…. In addition to the 20 names, the government said information provided by Mr. Wang had […]
Posted in Criminal, Top | Tagged Cooperation, Insider Trading
By Securities Docket on January 9, 2013, 10:41 am
As we welcome in 2013, it is appropriate to reflect back on some of the things which have occurred over 2012 and in the Foreign Corrupt Practices Act (FCPA) enforcement world, it was quite a significant year. The Department of Justice (DOJ) and Securities and Exchange Commission (SEC) both have used enforcement actions to educate […]
By Securities Docket on January 9, 2013, 10:05 am
Get caught up with the Securities Docket News Wire for January 8, 2013.