Subscribe
‘Enforcement 40’ for 2020
Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedInJudging The SEC’s Division Of Enforcement With 20/20 Foresight – Forbes’ The Insider
So as Ms. White, Mr. Ceresney and Mr. Canellos begin their great journey together to enforce the securities laws, I congratulate them on their appointment and admire them for having the courage to take important jobs where, no matter what they do, they will be subjected to criticism. For it is a certainty that no […]
Former MF Global CEO Corzine sued by trustee — Reuters
Jon Corzine was sued by the bankruptcy trustee liquidating MF Global Holdings Ltd, who accused the former chief executive of negligently pursuing a high-risk business strategy that culminated in the commodities brokerage’s destruction. The trustee, Louis Freeh, said in the lawsuit that Corzine and two top deputies overhauled MF Global’s business without addressing “systemic weaknesses” […]
SEC Enters First-Ever Non-Prosecution Agreement in FCPA Case – Compliance Week
Yesterday the SEC announced a non-prosecution agreement with Ralph Lauren Corp. related to alleged bribes a subsidiary of the company paid to government officials in Argentina from 2005 to 2009. The NPA is the first that the SEC has entered involving Foreign Corrupt Practices Act misconduct. via SEC Enters First-Ever Non-Prosecution Agreement in FCPA Case […]
Tough stance on insider trading at hedge funds getting results – Risk.net
The UK financial regulator’s tough stance on insider dealing at prominent hedge funds and asset managers has contributed to a 50% fall in “dubious trading activity” around earnings announcements and other market-moving news in the past three years, according to David Kirk, chief criminal counsel at the Financial Conduct Authority (FCA). via Tough stance on […]
Securities Docket News Wire for April 22, 2013
Get caught up with the Securities Docket News Wire for April 22, 2013.