‘Enforcement 40’ for 2020
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By Securities Docket on September 3, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for September 2, 2013.
By Securities Docket on September 3, 2013, 7:43 am
Three employees of a New York-based US broker-dealer have pleaded guilty for their roles in bribery schemes involving two state economic development banks in Venezuela. Ernesto Lujan, Jose Alejandro Hurtado and Tomas Alberto Clarke Bethancourt pleaded guilty in New York federal court to conspiring to violate the Foreign Corrupt Practices Act (FCPA), to violate the […]
Posted in Criminal, Top | Tagged FCPA, Travel Act
By Securities Docket on September 3, 2013, 7:34 am
Everbright Securities Co. 601788, ordered by China’s securities regulator to pay a record 523 million yuan $85 million for insider trading, was sued by investors in Guangzhou and Shanghai seeking damages for losses. Courts in the two cities have received the claims and haven’t yet decided whether to accept them, Ye Xiaolei and Yan Yiming, […]
Posted in Global, Top | Tagged China, Insider Trading