‘Enforcement 40’ for 2020
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By Securities Docket on April 16, 2014, 10:14 am
The chief executive officer and a managing partner of a New York-based U.S. broker-dealer were arrested today on felony charges arising from a conspiracy to pay bribes to a senior official in Venezuela’s state economic development bank. via CEO and Managing Partner of Wall Street Broker-Dealer Charged in Massive International Bribery Scheme — LongIsland.com
By Securities Docket on April 16, 2014, 10:11 am
The five ex-staffers of Bernie Madoff found guilty of helping the Ponzi monster pull off his epic $17 billion fraud are demanding an acquittal or new trial, claiming they were railroaded by flawed jury deliberations and false testimony from government witnesses. via 5 ex-Madoff staffers want guilty verdicts thrown out — New York Post.
By Securities Docket on April 16, 2014, 10:04 am
Back when I used to walk to Wall Street uphill both ways in the snow, there were certain tricks of the trade you were expected to abide by if you were going to operate in the gray area. via The truth about insider trading: former Galleon trader—CNBC