‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInWill Preet Bharara Take His Insider-Trading Smackdown to the Supreme Court? – Bloomberg Business
For months, hedge fund managers and traders have been wondering whether U.S. Attorney Preet Bharara would ask the Supreme Court to consider an appeals court ruling that could taint his legacy as the policeman of Wall Street. The deadline for Bharara to make a decision was July 2. But in a sign of how complex that […]
The SEC Goes After the Gate Keeper – Compliance Building
When a fraud is uncovered, the Securities and Exchange Commission no only wants to get the fraudsters, it also wants to get those who should have stopped the fraud. The SEC just brought an action against an IRA Custodian for ignoring red flags for its accounts that invested in Ponzi schemes. via The SEC Goes […]
Timbervest fires back at SEC for “unconstitutional enforcement action” – Atlanta Business Chronicle
A big Atlanta forest investment firm is firing back at the Securities and Exchange Commission for what it calls an “unconstitutional enforcement action.” In a complaint filed in federal court in Atlanta on June 12, Timbervest LLC and its four top execs contend an unjust ruling by an SEC administrative law judge “threatens to irreparably […]
Securities Docket News Wire for June 16, 2015
Get caught up with the Securities Docket News Wire for June 16, 2015.