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Join the Securities Litigation and Enforcement Group on LinkedInSecond Circuit Denies Rajat Gupta’s Last Gasp Effort to Vacate Conviction | Compliance Week
His imminent release from prison has not stopped former McKinsey & Company CEO and Goldman Sachs director Rajat Gupta from aggressively seeking to get his conviction vacated under the Second Circuit’s landmark Newman decision. This week, the Second Circuit rejected Gupta’s last gasp appeal in the case. via Second Circuit Denies Rajat Gupta’s Last Gasp […]
Facebook must face shareholder class actions over IPO | Reuters
A federal judge has certified two shareholder class actions accusing Facebook Inc of hiding concerns about its growth forecasts prior to the social media company’s May 2012 initial public offering. U.S. District Judge Robert Sweet in Manhattan said retail and institutional investors who claimed to lose money from buying Facebook shares at inflated prices in […]
Securities Docket News Wire for December 29, 2015
Get caught up with the Securities Docket News Wire for December 29, 2015.
Securities Docket News Wire for December 28, 2015
Get caught up with the Securities Docket News Wire for December 28, 2015.
Securities Docket News Wire for December 25, 2015
Get caught up with the Securities Docket News Wire for December 25, 2015.
Securities Docket News Wire for December 24, 2015
Get caught up with the Securities Docket News Wire for December 24, 2015.
Steven Cohen Preparing Latest Constitutional Challenge to SEC’s APs | Compliance Week
The next constitutional challenge to the SEC’s administrative proceedings process may be the most high-profile one to date. Lawyers for Steven A. Cohen confirmed that the SAC Capital founder intends to mount such a challenge if ongoing settlement talks are not successful. via Steven Cohen Preparing Latest Constitutional Challenge to SEC’s APs | Compliance Week
Securities Docket News Wire for December 23, 2015
Get caught up with the Securities Docket News Wire for December 23, 2015.
SEC Settles Insider Case Based on Credit Card Sales Data | Compliance Week
The SEC announced a partial settlement today in an unusual insider trading case that it brought earlier this year against Bonan Huang and Nan Huang — two former employees in the fraud department at Capital One Financial Corp. The SEC alleges that the men made over $2.8 million in illegal profits by misappropriating credit card […]
SEC’s Aguilar Looks Back at Seven Years of Progress | Compliance Week
SEC Commissioner Luis A. Aguilar will depart the SEC at the end of this month after serving as a commissioner for over seven years. With his last day at the SEC quickly approaching, Commissioner Aguilar posted an interesting statement on the SEC’s website this week in which he shared some observations about how the SEC […]