‘Enforcement 40’ for 2020
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By Securities Docket on November 27, 2013, 4:20 pm
On this Thanksgiving Eve, as we recall the generosity of the Wampanoags who helped early Bay Colony settlers learn how to survive in the New World, securities class action lawyers may want to spare a thanks or two for 12 members of the Ute tribe as well. Why? Because if the U.S. Supreme Court ends […]
By Securities Docket on November 27, 2013, 10:09 am
SEC Chair Mary Jo White has been touting the agency’s use of new technology as a “force-multiplier,” and yesterday’s enforcement action against investment adviser Ambassador Capital Management appears to be a good example of that strategy. via Data Analytics Helps SEC Bring Fraud Charges Against Money Fund Manager – Compliance Week
By Securities Docket on November 27, 2013, 8:55 am
U.S. banks might still be on the hook for more than $100 billion in additional fines and legal costs over bad mortgage loans sold during the financial crisis, according to a new estimate from credit rating agency Standard & Poor’s. via Additional legal costs for big banks could top $100 billion – CNNMoney
By Securities Docket on November 27, 2013, 8:52 am
The hedge-fund analysts vacationed together in the Hamptons, gambled in Las Vegas and adopted a creed that parodied the rules in the Brad Pitt film “Fight Club.” Instead of trading punches, they traded illegal tips that allowed their portfolio managers to reap tens of millions of dollars in profit. Having pleaded guilty to insider trading, four […]
By Securities Docket on November 27, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for November 26, 2013.
By Securities Docket on November 27, 2013, 8:26 am
U.S. District Judge Charles Breyer in San Francisco said today investors can proceed with claims against Whitman over statements she made in May and June of 2012 about the British software company. Whitman “omitted material information which the complaint alleges she possessed at the time, namely that she was considering accounting fraud at Autonomy” as […]