‘Enforcement 40’ for 2020
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By Securities Docket on October 24, 2013, 9:01 am
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 […]
By Securities Docket on October 24, 2013, 8:53 am
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 […]
By Securities Docket on October 24, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for October 23, 2013.
By Securities Docket on October 23, 2013, 5:01 pm
The SEC has always been quite consistent about issuing Litigation Releases about new cases and following litigation victories, but it very rarely issues Litigation Releases about its losses. Today, however, the SEC did issue an unusual Litigation Release noting its defeat last week in the high-profile Mark Cuban insider trading trial. via SEC Issues Unusual […]
By Securities Docket on October 23, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for October 22, 2013.
By Securities Docket on October 23, 2013, 8:17 am
The U.S. Securities and Exchange Commission is calling on corporate executives and boards to strengthen internal compliance programs as funding constraints limit the agency’s reach, SEC Chairman Mary Jo White said. via White Urges CEOs and Boards to Bolster SEC’s Compliance Efforts – Businessweek.
By Securities Docket on October 23, 2013, 8:14 am
The Public Company Accounting Oversight Board said Deloitte violated the Sarbanes-Oxley Act and PCAOB rules by allowing Christopher E. Anderson to work on a variety of matters for Deloitte after the PCAOB issued him a one-year suspension in 2008. Mr. Anderson declined to comment on the case. via Audit Regulator Fines Deloitte $2 Million – […]
By Securities Docket on October 22, 2013, 3:26 pm
The SEC alleges that subsidiaries of Diebold Inc. in China and Indonesia spent approximately $1.8 million on travel, entertainment, and other improper gifts for senior officials with the ability to influence the banks’ purchasing decisions. Government-owned bank officials in China and Indonesia were rewarded with free trips to popular tourist destinations in the U.S. and […]
By Securities Docket on October 22, 2013, 11:25 am
In public filings and now in earnings calls, many companies are flagging the government shutdown as an issue that that may contribute to fourth quarter earnings shortfalls. via Companies Warn Shutdown May Negatively Impact Fourth Quarter Earnings – Compliance Week