‘Enforcement 40’ for 2020
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By Securities Docket on October 3, 2013, 4:22 pm
Citigroup will pay a $30 million fine to Massachusetts to settle charges that one of its analysts offered unpublished research related to orders for Apple smartphones to hedge funds and other select clients, including SAC Capital Advisors. via Citigroup to Pay $30 Million Fine for Disclosure of Unpublished Research – DealBook
By Securities Docket on September 25, 2013, 7:55 am
Amid increasing signs that high speed traders are getting early access to key market-moving information, New York Attorney General Eric Schneiderman is cracking down on what he calls ‘Insider Trading 2.0.” “When blinding speed is coupled with early access to data, it gives small groups of traders the power to manipulate market movements in their […]
By Securities Docket on October 28, 2011, 11:00 am
In this guest column, Steptoe’s Matthew J. Gaul, Douglas S. Kantor and Philip S. Khinda explain the impact of new competing regulatory regimes in New York.
By Amanda Harding on April 8, 2010, 10:00 pm
Sean Coffey intends to focus on the “gatekeepers” in the securities world.
By Securities Docket on March 23, 2009, 2:48 pm
In this guest column, Douglas S. Kantor and Philip S. Khinda, partners with the law firm of Steptoe & Johnson LLP, discuss how the Office of the New York Attorney General has stepped to the fore and become a player on the national stage. They write that the NYAG’s success has been a product of its ability to move quickly and creatively in enforcing the law and applying its vision of proper corporate conduct.