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Early-Bird Registration Now Open for Securities Enforcement Forum 2014 — Oct. 14, 2014 in Washington, D.C.
U.S. Attorney Preet Bharara and SEC Commissioner Michael Pivovar to deliver Keynotes at SEF 2014!
Securities Docket News Wire for February 27, 2014
Get caught up with the Securities Docket News Wire for February 27, 2014.
Details on the Case Underlying the SEC’s $14 Million Whistleblower Award – Compliance Week
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 […]
Securities Class Action: Will It Become Endangered Species? – WSJ.com
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
Eric Schneiderman’s twisted fight against ‘insider trading 2.0’ — Bloomberg View
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 […]
Securities Docket News Wire for February 26, 2014
Get caught up with the Securities Docket News Wire for February 26, 2014.
SEC’s Newest Enforcement Weapon: Powerful Software — Money News
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 […]
N.Y. moves to prevent elite access to insider information — CBC News
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
Supreme Court Rules Allen Stanford Ponzi-Scheme Victims Can Sue Third Parties – Law Blog – WSJ
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 […]
Morgan Stanley Discloses Tentative $275 Million SEC Settlement – Compliance Week
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 […]