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Join the Securities Litigation and Enforcement Group on LinkedInDodd-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 […]
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 […]
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 […]
Securities Docket News Wire for October 23, 2013
Get caught up with the Securities Docket News Wire for October 23, 2013.