‘Enforcement 40’ for 2020
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By Securities Docket on April 1, 2014, 12:28 pm
Two of the chief culprits of aiding and abetting high frequency traders, the New York Stock Exchange and the Nasdaq stock exchange, failed to come under scrutiny in the much heralded 60 Minutes broadcast on how the stock market is rigged. via 60 Minutes Sanitizes Its Report on High Frequency Trading — Wall Street on Parade
By Securities Docket on April 1, 2014, 11:49 am
US Attorney Preet Bharara told a conference of securities compliance officers in Florida on Monday that no corporation should receive a “get-out-of-jail-free card based on size,” though he added that there may be “extremely compelling reasons” why for the sake of innocent third parties a disposition short of a criminal charge is sometimes appropriate. via […]
By Securities Docket on April 1, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for March 31, 2014.
By Securities Docket on April 1, 2014, 7:05 am
Federal investigators are currently probing high-speed-trading firms to see if the outfits are practicing a form of insider trading — that is, making deals based on nonpublic market information. via High-Speed Trading Gets Scrutiny Again, This Time From the Feds — TIME.com
By Securities Docket on April 1, 2014, 7:02 am
I was recently asked about the biggest threats to the Reform Act’s protections, and have since been giving that question a lot of thought. To be blunt, the biggest threat is the failure by many defense firms to make rigorous arguments on motions to dismiss that hold plaintiffs to the strict pleading standards of the […]
By Securities Docket on April 1, 2014, 7:01 am
JPMorgan Chase must face a lawsuit in which shareholders accused it of concealing risks that surfaced when it lost at least $6.2 billion in 2012 over trades made by Bruno Iksil, the so-called London Whale. via JPM must face shareholders’ ‘Whale’ lawsuit: Judge — New York Post