‘Enforcement 40’ for 2020
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By Securities Docket on May 25, 2016, 12:16 pm
Over the last few years, the SEC has been criticized for (1) failing to Over the last few years, the SEC has been criticized for (1) failing to “consistently and aggressively enforce the securities laws and protect investors and the public,” (2) obtaining sanctions that amount to only a slap on the wrist against major […]
By Securities Docket on May 25, 2016, 12:13 pm
Prosecutors in the insider trading trial of Oliver Curtis have been forced to concede there is no record of electronic messages between Mr Curtis and John Hartman crucial to an alleged deal between the former best friends. The NSW Supreme Court heard evidence yesterday from BlackBerry representative Lisa Freer on the “Pin to Pin” messaging […]
By Securities Docket on May 25, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for May 24, 2016.
By Securities Docket on May 25, 2016, 8:00 am
The Serious Fraud Office (SFO) of the U.K. is taking a second look at one of its practices that has raised criticism in the past following a report published by the Crown Prosecution Service Inspectorate (CPSI). CPSI released a report on Tuesday (May 24) that found SFO’s use of so-called “blockbuster funding” may hamper progress in […]
By Securities Docket on May 25, 2016, 7:59 am
The Securities and Exchange Commission today announced charges against three former corporate officers of North Carolina-based hygiene and sanitation company Swisher Hygiene, Inc. for their participation in a fraudulent earnings management scheme. via SEC Charges Corporate Officers With Earnings Management Scheme — SEC Press Release
By Securities Docket on May 25, 2016, 7:40 am
These issues were presented in the class action lawsuit filed in June 2015 in the Central District of California against Toshiba Corporation. The consolidated lawsuit purported to be filed on behalf of a class of investors who purchased unsponsored Toshiba American Depositary Shares (ADS) over-the-counter in the U.S., as well as on behalf of investors who purchased […]