‘Enforcement 40’ for 2020
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By Securities Docket on September 12, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for September 11, 2015.
By Securities Docket on September 12, 2015, 8:49 am
Judge Richard Leon in February rejected the government’s $21 million deferred-prosecution agreement between federal prosecutors and a Dutch aerospace firm it accused of illegally selling aircraft navigation parts and components to Iran — a move prosecutors called unprecedented. On Friday, Justice Department lawyers will ask a U.S. appeals court to reverse Leon’s decision, and revive […]
By Securities Docket on September 12, 2015, 7:45 am
William Uchimoto, who spent time running the China practice groups for Buchanan Ingersoll & Rooney and Stevens & Lee, said he was “shocked” to learn of the SEC’s civil securities fraud charges leveled against him Sept. 10. Uchimoto, a former general counsel to the Philadelphia Stock Exchange, said everything he did in relation to the […]
By Securities Docket on September 12, 2015, 7:37 am
A federal appeals court on Thursday ruled that employees are covered by anti-retaliation provisions for whistleblowers provided by the Dodd-Frank Act even if they don’t file a report with the Securities and Exchange Commission. via Court: Whistleblowers Protected, SEC Reporting or Not | Compliance Week