‘Enforcement 40’ for 2020
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By Securities Docket on October 3, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for October 2, 2014.
By Securities Docket on October 3, 2014, 8:05 am
The activist hedge fund manager Joseph Stilwell sued the U.S. Securities and Exchange Commission to stop it from pursuing an imminent enforcement action against him. He also wants a declaration that the appointment of SEC administrative law judges is unconstitutional. via Activist investor Stilwell sues SEC to stop enforcement case | Reuters
By Securities Docket on October 3, 2014, 8:03 am
Yesterday, JPMorgan shed some more light on just how sweeping this breach appears to have been. The firm disclosed in a Form 8-K filing that the cyber attack against it had compromised contact information data for approximately 76 million households and 7 million small businesses. Such data included the user’s name, address, phone number and email address. […]
By Securities Docket on October 3, 2014, 7:23 am
David Riley, a former executive at Foundry Networks Inc., a computer equipment company, was found guilty on Thursday in Federal District Court in Manhattan on three of four counts for his involvement in an alleged insider-trading scheme in 2008. via Former Foundry Networks Executive Guilty in Insider-Trading Case – WSJ