Daily Archives: October 24, 2013, 9:05 am

Dodd-Frank Anti-Retaliation Provisions Don’t Protect Overseas Whistleblower — The D & O Diary

However, a recent decision in the Southern District of New York could put a damper on overseas whistleblowing. In an October 21, 2013 opinion, Judge William H. Pauley held that the Dodd-Frank Act’s whistleblower anti-retaliation provisions do not protect whistleblowers outside the U.S. Judge Pauley’s decision follows a June 2013 Southern District of Texas decision in the GE Energy (USA)…

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Ex-Bristol-Myers Executive Gets Year-and-a-Day Jail Sentence in Insider-Trading Case – Dow Jones Business News

A former Bristol-Myers Squibb Co. executive who had pleaded guilty to securities fraud charges earlier this year was sentenced to a year and a day in prison for transactions he made ahead of a planned acquisition by the drug maker, according to the Justice Department. Prosecutors in June said that as part of his plea in federal court in Trenton,…

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SEC wins fraud judgment against Minneapolis fund – TwinCities.com

The U.S. Securities and Exchange Commission filed suit in 2010 against Capital Solutions Monthly Income Fund and Todd Duckson, a Minneapolis attorney who controlled the fund. Following a five-week civil trial before U.S. District Judge Donovan Frank, the jury Tuesday found that Duckson and the fund had violated securities laws. The decision on any financial penalties in the case will…

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