‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn
You are browsing the site archives by date.
By Securities Docket on February 28, 2014, 12:00 pm
U.S. Attorney Preet Bharara and SEC Commissioner Michael Pivovar to deliver Keynotes at SEF 2014!
By Securities Docket on February 28, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for February 27, 2014.
By Securities Docket on February 27, 2014, 2:44 pm
Details on the most significant whistleblower award issued to date by the SEC’s Office of the Whistleblower finally emerged today. The $14 million award, which was issued on September 30, 2013, is reportedly the result of a case filed in February 2013 that returned over $147 million to investors. via Details on the Case Underlying […]
By Securities Docket on February 27, 2014, 12:29 pm
The Supreme Court is taking up the contested legal theory that underpins most big securities class-action lawsuits in a case that could reshape the balance of power between companies and the lawyers who sue them. via Securities Class Action: Will It Become Endangered Species? – WSJ.com
By Securities Docket on February 27, 2014, 10:25 am
Now that we know New York has an attorney general who makes up the law as he goes along when it comes to the securities industry, where will he draw the line? Today Eric Schneiderman said his office has reached agreements with 18 financial-services firms, most of which are Wall Street banks, to “stop their […]
By Securities Docket on February 27, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for February 26, 2014.
By Securities Docket on February 26, 2014, 3:34 pm
Palantir [software] allows the SEC to compare the records of every trade made in a particular stock, along with the identities of those who made each trade, with addresses, phone numbers and other personal information from paid databases. That enables it to see more clearly relationships between all those trading in the same stock. via […]
By Securities Docket on February 26, 2014, 3:31 pm
Eighteen Wall Street firms have agreed to a voluntary ban on analyst surveys amid concerns that the surveys might give some investors an advance peek at market-moving information. via N.Y. moves to prevent elite access to insider information — CBC News
By Securities Docket on February 26, 2014, 12:32 pm
Victims of R. Allen Stanford’s $7 billion Ponzi scheme can sue law firms and other third parties on allegations they aided the fraud, the Supreme Court ruled Wednesday. The court, in a 7-2 ruling written by Justice Stephen Breyer, said the victims’ class-action lawsuits were allowed even though a 1998 federal law largely prohibits state-law […]
By Securities Docket on February 26, 2014, 11:24 am
In its Form 10-K filed yesterday, Morgan Stanley disclosed that it has reached a tentative agreement to pay $275 million to resolve an SEC investigation into subprime RMBS transactions the firm sponsored and underwrote in 2007. The disclosure appears to signal the end of Morgan Stanley’s distinction of being the only major bank to avoid […]