‘Enforcement 40’ for 2020
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By Securities Docket on May 2, 2013, 12:22 pm
The SEC announced today that David P. Bergers, Acting Deputy Director of the SEC’s Enforcement Division and Director of the Boston Regional Office, will be leaving the SEC this spring after 13 years with the agency. via SEC Enforcement’s David Bergers Leaving Agency After 13 Years – Compliance Week
Posted in SEC, Top | Tagged Lawyers, Regulators
By Securities Docket on May 2, 2013, 9:44 am
After months of being “buffeted” by bad news of SAC Capital employees charged with insider trading, the firm’s founder, Steve Cohen, is trying to flip the script a bit. Cohen authored a letter to SAC investors insisting that the insider trading allegations are unacceptable to the firm and laying out several “zero tolerance” compliance-related steps […]
Posted in Criminal, SEC | Tagged Compliance, Insider Trading
By Securities Docket on May 2, 2013, 8:29 am
In a 61-page brief filed on Wednesday, Facebook’s lawyers at Kirkland & Ellis and Willkie Farr & Gallagher moved to dismiss consolidated securities litigation over the IPO. Contrary to a slew of complaints filed by plaintiffs lawyers, they argued that Facebook adequately warned investors in the run-up to the IPO that increased mobile usage might […]
Posted in Class Actions, Top | Tagged Dismissals, Facebook
By Securities Docket on May 2, 2013, 6:53 am
Get caught up with the Securities Docket News Wire for May 1, 2013.