‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSAC and the Strange Focus on Insider Trading — Harvard Business Review
It may seem strange that Wall Street’s top cop has chosen to attack Galleon and SAC instead of the institutions at the heart of the mortgage meltdown that brought on the financial crisis. It may seem even stranger when you consider that a lot of legal scholars don’t think insider trading is fraud, and a […]
Government Watchdog Reports Low Morale, Lack of Communication at SEC – Compliance Week
The effectiveness of the Securities and Exchange Commission is undermined by low employee morale, poor internal communication, and the lack of proper systems to monitor employee performance and promotions, according to a new report issued by a federal watchdog. via Government Watchdog Reports Low Morale, Lack of Communication at SEC – Compliance Week
SDNY Drops the Hammer on SAC … But Not Steve Cohen – Compliance Week
In a scathing news conference yesterday, U.S. Attorney Preet Bharara’s press conference announced that his office had filed criminal charges against SAC Capital — which he called a “magnet for market cheaters.” Notably, however, prosecutors stopped short of bringing any criminal charges against SAC Capital’s founder and CEO, Steve Cohen. via SDNY Drops the Hammer […]
Securities Docket News Wire for July 25, 2013
Get caught up with the Securities Docket News Wire for July 25, 2013.