‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInBanned Stocks Held by SEC Employees Trigger Agency Ethics Review – Businessweek
Securities and Exchange Commission attorneys are reviewing the stock holdings of about 3,400 employees after some New York staffers were found to own securities prohibited by ethics rules. via Banned Stocks Held by SEC Employees Trigger Agency Ethics Review – Businessweek
On Wall Street, workers talk, CEOs walk – David Weidner’s Writing on the Wall
So, what’s disgraced hedge-fund manager Steven Cohen up to these days? Another party ? Art shopping ? Testing the real estate market for the uber rich? … Cohen’s relatively uninterrupted life in the midst of accusations, convictions and admitted wrongdoing underscore how the scales of justice aren’t merely tipped against the junior players on Wall […]
JPMorgan drops another China IPO amid ‘princeling’ probe: sources — Reuters
JPMorgan Chase & Co has stopped working on a Chinese firm’s initial public offering amid an investigation by U.S. authorities into its hiring practices in China, people with direct knowledge of the matter told Reuters on Tuesday. via JPMorgan drops another China IPO amid ‘princeling’ probe: sources — Reuters
Australia: Stuart Fysh slams BG Group for turning him over to ASIC | The Australian
Former BG vice-president Stuart Fysh has lashed out at his former employer and the corporate regulator after being acquitted of insider trading charges for which he served six months in jail. via Stuart Fysh slams BG Group for turning him over to ASIC — The Australian
Securities Docket News Wire for January 20, 2014
Get caught up with the Securities Docket News Wire for January 20, 2014.