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By Securities Docket on June 3, 2013, 4:30 pm
Get caught up with the Securities Docket News Wire for June 2, 2013.
By Securities Docket on June 3, 2013, 3:55 pm
The migration of former prosecutors from the U.S. Attorney’s Office for the Southern District of New York to the SEC continues. Today, the SEC announced that Robert E. Rice has joined the agency as Chief Counsel to SEC Chairman Mary Jo White. Rice joins the SEC from Deutsche Bank AG in New York, where he was head of governance, […]
By Securities Docket on June 3, 2013, 10:52 am
But are [Anthony] Chiasson’s actions—or those of the scores of rogue portfolio managers and traders hauled to court in recent years—all that incomprehensible? Is it so hard to understand that a wealthy man might want to be wealthier; or that a person might be tempted to push his luck too far? The subject has not […]
By Securities Docket on June 3, 2013, 8:56 am
Imagine the pressure on Mathew Martoma, the 38-year-old former portfolio manager at SAC Capital Advisors charged with insider trading who may — or may not — be in a position to implicate Steven A. Cohen, the hedge fund’s billionaire founder and owner. via SAC Case Tests a Classic Dilemma – NY Times
By Securities Docket on June 3, 2013, 8:25 am
The irony here should not be missed. In the Citigroup case, the SEC is insisting that Rakoff must enjoin Citigroup (which is already subject to multiple SEC injunctions), but in the Falcone case, the SEC appears to be waiving any injunction against an arguably more culpable controlling person who will retain control of a public […]