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Join the Securities Litigation and Enforcement Group on LinkedInSecurities Docket News Wire for September 11, 2015
Get caught up with the Securities Docket News Wire for September 11, 2015.
U.S. Aligns With Fokker Against Judge Who Called Penalty Light – Bloomberg Business
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 […]
Attorney Facing SEC Fraud Charges ‘Shocked’ by Allegations | The Legal Intelligencer
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 […]
Court: Whistleblowers Protected, SEC Reporting or Not | Compliance Week
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