‘Enforcement 40’ for 2020
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By Securities Docket on May 30, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for May 29, 2015.
By Securities Docket on May 29, 2015, 4:08 pm
One month after leaving the top post at the Securities and Exchange Commission in Fort Worth, David Woodcock will join Jones Day, the law firm announced Thursday. Woodcock will join the firm’s Dallas office as a partner in the Securities Litigation & SEC Enforcement Practice at the end of June via Former Fort Worth SEC […]
By Securities Docket on May 29, 2015, 11:28 am
Australia’s corporate watchdog has told the finance industry to expect a crackdown on the mishandling of market sensitive information, and the culture that allows such misconduct, as the regulator continues to push for tougher penalties for “white collar” crimes. via ASIC’s Greg Medcraft signals crackdown on market-sensitive information | afr.com
By Securities Docket on May 29, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for May 28, 2015.
By Securities Docket on May 29, 2015, 8:44 am
A key senator has asked the Securities and Exchange Commission to explain how fake firms can file false notices on the agency’s electronic filing system that move share prices. Sen. Charles Grassley, an Iowa Republican and chairman of the Senate Judiciary Committee, sent the SEC a letter asking how fake firms can file false notices […]
By Securities Docket on May 28, 2015, 11:15 am
A documentary premiering tonight on CNBC includes an in-depth look at the audacious insider trading scheme carried out by trader Garrett Bauer and attorney Matthew Kluger. The film examines how people rationalize and justify behavior, and considers what can be done “to stem an epidemic of cheating.” via Premiering Tonight — ‘(Dis)honesty: The Truth About […]
By Securities Docket on May 28, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for May 27, 2015.
By Securities Docket on May 28, 2015, 7:42 am
A former Bernard Madoff trader who helped create fake securities data to trick customers avoided a prison sentence, the third ex-worker to do so after assisting in the prosecution of former colleagues. David Kugel, who worked in the brokerage operation of Madoff’s New York-based firm for almost four decades, was given 10 months’ home detention […]
By Securities Docket on May 28, 2015, 7:40 am
Tesco Plc is facing the threat of a shareholder damages claim in the U.K. over the 263 million-pound ($404 million) profit overstatement that plunged Britain’s biggest retailer into crisis last year. via Tesco Investor Group Hires Lawyer and Readies U.K. Legal Action – Bloomberg Business
By Securities Docket on May 27, 2015, 3:43 pm
The former portfolio manager for Steve Cohen’s SAC Capital Advisors said in new court papers filed Tuesday that a recent appeals court decision narrowing the definition of insider trading “at the very least… demands a new trial.” via Martoma tries new tack to overturn conviction | New York Post