‘Enforcement 40’ for 2020
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By Securities Docket on September 29, 2016, 7:15 pm
Back in September 2008, I wrote about the latest twist in the saga of Jérôme Kerviel — a comic book created to recount the incredible story of the then-31-year old junior trader who nearly brought down French bank, Société Générale, with his rogue trading. In light of the Kerviel-related events since 2008, including this week, […]
By Securities Docket on September 29, 2016, 10:14 am
Maurice R. Greenberg, the former chief executive of American International Group, clashed with a New York State prosecutor on Wednesday over the extent of his role in a transaction at the center of his civil accounting fraud trial. via Former A.I.G Chief Spars With Prosecutor at His Fraud Trial – The New York Times
By Securities Docket on September 29, 2016, 10:13 am
Recently, however, a number of news articles proclaim the end of financial crisis-related prosecutions, which raises the question, is it really over? The answer is, probably not, but maybe soon. via Prosecutions from the Financial Crisis: When Is It Safe to Come Out of the Woods? – Forbes
By Securities Docket on September 29, 2016, 8:56 am
Yesterday, the SEC named Jane Norberg as the new Chief of the SEC’s Office of the Whistleblower. Norberg, previously the Acting Chief, fills the position left vacant when Sean McKessy left the agency this summer. via Jane Norberg named chief of SEC’s Office of Whistleblower | Compliance Week
By Securities Docket on September 29, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for September 28, 2016.