‘Enforcement 40’ for 2020
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By Securities Docket on May 27, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for May 26, 2015.
By Securities Docket on May 26, 2015, 4:46 pm
A Connecticut venture capital executive accused of insider trading and of cheating his clients out of tens of millions of dollars has fled the country, the U.S. Securities and Exchange Commission said. via Connecticut exec flees U.S. after insider trading, fraud claims -SEC | Reuters.
By Securities Docket on May 26, 2015, 10:31 am
Australian stock trader facing sentencing for insider trading channels his inner George Costanza (“Was that wrong? Should I have not done that?”) via Australian Stock Trader Tries Out ‘Costanza Defense’ in Sentencing Hearing | Compliance Week
By Securities Docket on May 26, 2015, 8:53 am
The FBI agent who oversaw the Bernard Madoff investigation and helped pioneer the use of wiretaps that yielded dozens of insider-trading convictions is now working for Goldman Sachs Group Inc. via Goldman’s New Cop Is FBI Agent Who Put Away Madoff, Rajaratnam – Bloomberg Business
By Securities Docket on May 26, 2015, 8:52 am
Ms. Holtzee’s experience isn’t uncommon: Laywers representing whistleblowers say it is hard to collect bounties in some of the most famously fraud-prone areas policed by the SEC, including penny stocks, pyramid schemes and U.S.-listed Chinese companies. The reason is simple: Those cases are notoriously hard for the SEC to recover sanctions…. via Whistleblowers Find SEC […]
By Securities Docket on May 23, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for May 22, 2015.
By Securities Docket on May 22, 2015, 8:56 am
My question is: why is this case happening now? Does the statute of limitations mean nothing? Under 28 U.S.C. § 2462, the SEC has five years to bring cases including a “punitive remedies,” which includes civil money penalties such as the one in this case…. via Why Did BHP Billiton Settle an FCPA Case Including […]
By Securities Docket on May 22, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for May 21, 2015.
By Securities Docket on May 21, 2015, 8:55 am
With several of his more than 80 insider-trading convictions at stake, Bharara is playing hardball with those who are trying to wriggle out of their convictions on the basis of a recent appeals court decision that threw out two of them. “[The feds] played the whole game and they won,” said white-collar defense lawyer Stuart […]