‘Enforcement 40’ for 2020
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By Securities Docket on July 31, 2015, 3:45 pm
But I’ve noted significant changes to other characteristics of securities-litigation culture recently, which portend a paradigm shift. Over the past few years, smaller plaintiffs’ firms have initiated more securities class actions on behalf of individual, retail investors, largely against smaller companies that have suffered what I call “lawsuit blueprint” problems such as auditor resignations and […]
By Securities Docket on July 31, 2015, 9:40 am
U.S. Attorney Melinda Haag, who handled criminal cases against state Sen. Leland Yee and baseball star Barry Bonds during five years as the chief federal prosecutor for coastal Northern California, announced her resignation Wednesday. Haag, 53, told staffers at a morning meeting in San Francisco that she will step down Sept. 1 and spend some […]
By Securities Docket on July 31, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for July 30, 2015.
By Securities Docket on July 30, 2015, 3:01 pm
Facing an August 3 deadline to appeal the Second Circuit’s Newman decision, the United States today filed a petition for a writ of certiorari with the U.S Supreme Court. The U.S. argued that the Second Circuit’s decision “erroneously departed” from the Supreme Court’s decision in Dirks v. SEC. U.S. Asks Supreme Court to Review ‘Erroneous’ […]
By Securities Docket on July 30, 2015, 10:39 am
The number of federal securities class action lawsuit filings in the first half of 2015 was above the number of securities suits in the first half of 2014, although below long-term semiannual averages, according to the latest report from Cornerstone Research. via Cornerstone Research Releases Midyear Securities Litigation Report | The D&O Diary
By Securities Docket on July 30, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for July 29, 2015.
By Securities Docket on July 29, 2015, 5:12 pm
The SEC’s Dan Hawke, Chief of the Division of Enforcement’s Market Abuse Unit, will be leaving the agency after 16 years of service. via SEC’s Dan Hawke, Chief of Market Abuse Unit, Departing Agency | Compliance Week
By Securities Docket on July 29, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for July 28, 2015.
By Securities Docket on July 28, 2015, 10:28 am
In response to recommendations made by HM Treasury at the end of last year, the FCA has published an updated set of enforcement referral criteria, which it will use to determine which cases should be referred to the FCA’s Enforcement Division for investigation. But what – if any – difference will the FCA’s new enforcement […]