‘Enforcement 40’ for 2020
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By Securities Docket on January 23, 2014, 8:08 pm
It is a long and rarely-traveled road between receiving a subpoena for documents or testimony from the SEC and actually getting yourself arrested, but Anthony Coronati completed the journey down that road today when he was arrested by the U.S. Marshals Service. via SEC Subpoena Enforcement for Documents and Testimony Results in Rare Arrest – […]
Posted in SEC, Top | Tagged Contempt of Court, Subpoenas
By Securities Docket on January 23, 2014, 10:25 am
The website for Corp Law Blog (www.corplawblog.com), a former member of corporate and securities blog royalty, has sadly been turned into some kind of a odd link farm for a narcotics addiction recovery website. via Abandoned ‘Corp Law Blog’ Now a Link Farm for Narcotics Addiction Recovery Website – Compliance Week
By Securities Docket on January 23, 2014, 9:14 am
A U.S. judge has ruled that the Chinese units of the Big Four accounting firms should be suspended from practicing in the United States for six months, an escalation in a long-running dispute between regulators in the United States and China over access to audits. via S.E.C. Judge Censures China Firms Over Audits – NYTimes.com
By Securities Docket on January 23, 2014, 9:13 am
The doctor lied because of pride. Renowned neurologist Sidney Gilman said Tuesday he lied six times to the FBI, the Securities and Exchange Commission and Manhattan prosecutors about his role in selling illegal tips to Mathew Martoma because he was too embarrassed by his actions. via Doctor in Martoma case lied because he was embarrassed […]
Posted in Criminal, Top | Tagged Insider Trading, Trials
By Securities Docket on January 23, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for January 22, 2014.