‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn
You are browsing the site archives by date.
By Securities Docket on September 12, 2016, 5:12 pm
Securities Enforcement Forum 2016 is on October 13, 2016!
By Securities Docket on September 12, 2016, 12:50 pm
H.R. 5424 would reduce the amount of information that private equity and hedge fund managers have to disclose either to investors or to the Securities and Exchange Commission (SEC). They don’t disclose enough information as it is. But thanks to some modest requirements imposed on them by the Dodd-Frank Act, we know more now than […]
By Securities Docket on September 12, 2016, 12:49 pm
Lynn Tilton, the New York financier accused by the U.S. Securities and Exchange Commission of defrauding her investors, on Friday sued the regulator to stop it from pursuing unfair in-house enforcement cases against her and others. The lawsuit filed in Manhattan federal court by Tilton and her firm Patriarch Partners accused the SEC of violating […]
By Securities Docket on September 12, 2016, 12:48 pm
The Serious Fraud Office (SFO) has charged three former executives in connection with Tesco’s £260m ($346m) profits overstatement. The SFO said it has charged Carl Rogberg, 49, Christopher Bush, 50, and John Scouler, 48, with one count of fraud one count of false accounting each. via Serious Fraud Office charges three former Tesco bosses — IB […]