‘Enforcement 40’ for 2020
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By Securities Docket on May 23, 2013, 4:30 pm
Get caught up with the Securities Docket News Wire for May 22, 2013.
By Securities Docket on May 23, 2013, 2:53 pm
Former Goldman Sachs investment banker Neil M.M. Morrison has agreed to pay $100,000 and accept a bar from the securities industry for five years to settle the SEC’s “pay-to-play” charges. The case marks the first time an individual has been barred from the securities industry for such violations. via SEC Settles Pay-to-Play Case Against Former […]
By Securities Docket on May 23, 2013, 9:53 am
Pleas join F. Joseph Warin, John Sturc, John Chesley and Peter Bradford for this free webcast.
By Securities Docket on May 23, 2013, 7:43 am
Largely overlooked by both sides, however, are two unintended consequences likely to flow from court-mandated admissions of wrongdoing in SEC cases. First, as in other facets of life, when government policy makes something more difficult and costly, rational people seek alternatives to avoid the increased burden and expense. In the realm of SEC law enforcement, […]
By Securities Docket on May 23, 2013, 6:28 am
The most powerful legal fraternity on Wall Street congregated last year at Capitale, a lower Manhattan ballroom that was once the headquarters of the Bowery Savings Bank. As a winter rain fell, federal judges, top regulators, titans of the defence bar and highly paid corporate counsels gathered to honour an institution that helped make them […]
By Securities Docket on May 23, 2013, 6:25 am
The outcome involves high stakes for both Cohen and the government, experts tracking the case said. Prosecutors have been working their way up the hierarchy at the hedge fund for years, they said, and this case gives them their best shot at Cohen — if they can act before the five-year statute of limitations lapses […]