Subscribe
‘Enforcement 40’ for 2020
Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedInAdvisen Releases First Quarter 2014 Corporate and Securities Litigation Report — The D&O Diary
Overall Filings of corporate and securities lawsuits during the first quarter of 2014 were at their lowest levels since before the financial crisis, according to the latest report from Advisen, the insurance information firm…. via Advisen Releases First Quarter 2014 Corporate and Securities Litigation Report — The D&O Diary
SECFAIL? Not This Time, as Toby Scammell Pleads Guilty to Insider Trading – Compliance Week
The unusual Toby Scammell insider trading saga ended yesterday when Scammell finally pleaded guilty to securities fraud that involved him making $192,000 by trading on inside information. via SECFAIL? Not This Time, as Toby Scammell Pleads Guilty to Insider Trading – Compliance Week
Securities Docket News Wire for April 21, 2014
Get caught up with the Securities Docket News Wire for April 21, 2014.
Institutional investors step off sidelines to sue BP for fraud — Alison Frankel, On the Case
A spate of U.S. pension funds, including Bank of America’s private pension plan and funds for public workers in Maryland, Louisiana and Texas, filed suits Friday accusing BP of defrauding investors in its statements about the Deepwater Horizon oil spill in April 2010. Piling on just ahead of the statute of limitations, several foreign institutions, […]
Prosecutors’ Long Winning Streak on Insider Trading Could Soon Be Over – Businessweek
The U.S. Court of Appeals for the Second Circuit will hear arguments in a case that is being closely watched—and fretted over—by investigators involved in the government’s historic string of insider trading prosecutions. Two convicted hedge fund portfolio managers are arguing that what the government accused them of doing isn’t actually illegal, and the appeals […]
Why is it Tough to Catch Insider Trading in India? – India Real Time – WSJ
While insider trading is tough to detect and prove in any country, in India it seems to be particularly rampant because regulators just don’t have the tools to keep it in check, said J.N. Gupta, a former director of the Securities and Exchange Board of India. “All the participants, including regulatory bodies, are aware that […]
Securities Docket News Wire for April 20, 2014
Get caught up with the Securities Docket News Wire for April 20, 2014.
Flash Boys Litigation: High Frequency Traders, Brokers and Securities Exchanges Hit With Securities Suit — The D&O Diary
The topic of high frequency trading has dominated the business headlines since the late March publication of Michael Lewis’s new book, “Flash Boys: A Wall Street Revolt.” The SEC, the U.S. Department of Justice and the Federal Bureau of Investigation have confirmed that they are investigating high frequency trading, as has the New York Attorney […]
Court Case May Help Define ‘Insider Trading’ – WSJ.com
At issue in the appeal is whether, to be considered to have traded on confidential material information, a trader must have known the tip had been illegally disclosed in exchange for a reward. The appeal is being pursued by Todd Newman and Anthony Chiasson, two portfolio managers whose 2012 insider-trading convictions were a significant victory […]
Securities Docket News Wire for April 18, 2014
Get caught up with the Securities Docket News Wire for April 18, 2014.