‘Enforcement 40’ for 2020
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By Securities Docket on December 16, 2014, 1:50 pm
Please join Bill McLucas, Doug Davison, Marty Wilczynski and Jason Flemmons for this free webcast.
By Securities Docket on December 16, 2014, 9:35 am
In the SEC’s third trial to reach a verdict in FY 2015, a federal jury in Miami found after a six-week trial that BankAtlantic Bancorp and its CEO fraudulently misled investors in 2007. via 2015 SEC Trial Scorecard Update: Jury Finds Bank, CEO Liable for Fraud | Compliance Week
By Securities Docket on December 16, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for December 15, 2014.
By Securities Docket on December 16, 2014, 8:53 am
Kimelman, who spent 15 months of a 30-month sentence in a federal pen in Lewisburg, Pa., knows he can’t get back his life. But a stunning appeals court decision reversing two key insider-trading convictions has given him hope that he can restore his reputation. via Recent decision could give inside trader a 2nd chance | […]
By Securities Docket on December 16, 2014, 7:44 am
If this decision remains in effect, those desiring to improperly obtain information from insiders can do so safely as long as the government can’t prove the trader knew the insider got value. That should shock Congress to get back in the game and rationalize the insider-trading laws to restore the integrity of the markets. Otherwise, […]
By Securities Docket on December 16, 2014, 7:17 am
A federal judge sentenced JoAnn Crupi to six years in prison on Monday for her role in aiding Bernard Madoff’s Ponzi scheme, capping the legal odyssey of five former Madoff employees convicted of helping enable the fraud. via Madoff Aide Sentenced to Six Years in Prison – WSJ
By Securities Docket on December 16, 2014, 7:16 am
Yesterday, the SEC brought its 7th Foreign Corrupt Practices Act enforcement action of 2014. Like the previous 6 enforcement actions (5 against companies and 1 against individuals), the enforcement action was resolved via the SEC’s administrative process. Yesterday’s enforcement action against life-sciences company Bruker Corporation was primarily based on excessive travel and entertainment benefits provided […]