‘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 June 12, 2014, 12:36 pm
London high street fast food outlet Chilango, favored by City types with elastic waistbands, is offering an 8% coupon on a four-year corporate bond that gives some buyers a free burrito* every week for the lifetime of the debt. All you have to do is cough up £10,000 pounds ($16,800) and trust that it is […]
By Securities Docket on June 12, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for June 11, 2014.
By Securities Docket on June 12, 2014, 7:47 am
One week after the U.S. Senate confirmed the Obama administration’s appointment of Timothy Massad as the new chairman of the Commodity Futures Trading Commission (CFTC), he got down to business on Wednesday by naming Aitan Goelman as the agency’s director of the Division of Enforcement. via New CFTC Chair Massad Taps Former Federal Prosecutor to […]
By Securities Docket on June 12, 2014, 7:45 am
SEC Commissioner Kara Stein wants Finra to strengthen its penalties for noncompliant broker-dealers, saying the current sanctions are too weak for deterrence. via SEC Commissioner Wants Stronger Finra BD Penalties — Financial Advisor
By Securities Docket on June 12, 2014, 7:35 am
Former Goldman Sachs Group Inc director Rajat Gupta has failed to persuade the U.S. Supreme Court to delay the June 17 start of his two-year prison term while he pursues an appeal of his insider trading conviction. via Ex-Goldman director Gupta loses bid to stay out of prison | Reuters