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Join the Securities Litigation and Enforcement Group on LinkedInSEC Names Julie Riewe and Marshall Sprung to Lead Asset Management Unit – Compliance Week
On Monday, the SEC announced that Julie M. Riewe and Marshall S. Sprung will be the new Co-Chiefs of the Division of Enforcement’s Asset Management Unit. Together they succeed former unit chief Bruce Karpati, now CCO at Prudential Financial. via SEC Names Julie Riewe and Marshall Sprung to Lead Asset Management Unit – Compliance Week
The SEC’s New ‘Admit Liability’ Policy Will Hurt Everyone Except Plaintiff Lawyers – Forbes
It’s hard to argue with a regulatory agency seeking more flexible penalties for carrying out a regulatory mandate. But the approval with which SEC watchers generally greeted the policy may be premature, for it’s not likely to further SEC enforcement objectives. On the one hand, this may little more than a cosmetically deft finesse of […]
SEC alleges insider trading in Onyx ahead of Amgen offer — Reuters
The U.S. Securities and Exchange Commission has filed a lawsuit accusing unnamed defendants of insider trading in Onyx Pharmaceuticals Inc call options before the drugmaker publicly rejected a takeover bid by larger rival Amgen Inc and put itself up for sale. In a complaint filed on Wednesday with the U.S. District Court in Manhattan, the […]
Securities Docket News Wire for July 3, 2013
Get caught up with the Securities Docket News Wire for July 3, 2013.