‘Enforcement 40’ for 2020
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By Securities Docket on December 21, 2013, 8:55 am
Get caught up with the Securities Docket News Wire for December 20, 2013.
By Securities Docket on December 20, 2013, 1:34 pm
In other words, our ban on insider trading isn’t really about protecting investors or making markets function better. It’s about expressing a moral view, much like we do with Blue Laws that ban the sale of alcohol on Sundays. There’s nothing necessarily wrong with encoding morality into securities laws. But should Steinberg really be facing […]
By Securities Docket on December 20, 2013, 12:11 pm
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By Securities Docket on December 20, 2013, 8:55 am
Get caught up with the Securities Docket News Wire for December 19, 2013.
By Securities Docket on December 20, 2013, 7:53 am
After many months of investigating the roles of Goldman Sachs, Wells Fargo and Standard & Poor’s in troubled mortgage securities — and even warning the companies that enforcement actions were possible — the S.E.C. closed or shelved these cases and at least two others. While these outcomes have been known, the reasoning behind the decisions […]
By Securities Docket on December 19, 2013, 4:18 pm
I have heard countless rationales through the years for why people engage in insider trading, but here is a new one courtesy of today’s case filed by the SEC against a Microsoft employee: “‘I told myself, ‘Members of Congress can do it.’” via Defendant Rationalized Insider Trading Was OK Because ‘Members of Congress Can Do […]
By Securities Docket on December 19, 2013, 1:41 pm
Genscape is at the vanguard of a growing industry that employs sophisticated surveillance and data-crunching technology to supply traders with nonpublic information about topics including oil supplies, electric-power production, retail traffic and crop yields. via Traders Seek an Edge With High-Tech Snooping – WSJ.com
By Securities Docket on December 19, 2013, 8:55 am
Get caught up with the Securities Docket News Wire for December 18, 2013.
By Securities Docket on December 19, 2013, 8:00 am
Law firm Bryan Cave LLP announced yesterday that Therese D. Pritchard will be the the next Chair of the firm beginning on October 1, 2014. Pritchard will be the first woman to hold the position in Bryan Cave’s 140-year history. Pritchard is currently the leader of the firm’s White Collar, Securities Enforcement and Litigation Client Service […]
By Securities Docket on December 19, 2013, 7:45 am
Award-winning financial writer Diana Henriques was the first journalist to interview Madoff after his incarceration. She chronicled the unfolding scandal for the NYTimes and has written a masterful account of Madoff’s fraud and its global repercussions…. In part one of our Q&A, Henriques describes her strategies for interviewing a singularly accomplished liar like Madoff — […]