‘Enforcement 40’ for 2020
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By Securities Docket on January 1, 2016, 4:13 pm
A federal judge on Wednesday rejected hedge fund manager Doug Whitman’s request to end his two-year sentence for insider trading early while he pursues his latest appeal of his 2012 conviction. via U.S. hedge fund founder is denied early release in insider case | Reuters
By Securities Docket on June 10, 2015, 8:47 am
Galleon Group hedge fund founder Raj Rajaratnam plans to formally ask a U.S. judge to throw out his 11-year prison sentence and void many of the 14 counts for which he was convicted in his insider trading case. Rajaratnam, 57, has already served 3-1/2 years of his term following his May 2011 conviction on nine […]
By Securities Docket on December 5, 2012, 2:37 pm
Second Circuit rules Gupta can stay out of prison while his appeal is heard.
By Securities Docket on December 15, 2011, 2:12 pm
Enforcement staff expected to recommend SEC appeal Judge Rakoff’s rejection of Citigroup settlement.
By Securities Docket on December 1, 2011, 5:12 pm
SEC could seek voluntary dismissal and refile (and settle), or seek reconsideration of the decision.
By Securities Docket on November 29, 2011, 9:11 pm
SEC options include an appeal or moving to a new enforcement model.
By Securities Docket on November 29, 2011, 5:11 pm
Raj Rajaratnam asks court to allow him to remain free while appeal concerning wiretapped calls is pending.