‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn
By Securities Docket on April 16, 2012, 2:33 pm
Defendant in SEC backdating options cases claims SEC has lost or destroyed 5 million pages of documents.
By Securities Docket on November 3, 2011, 3:11 pm
IG finds “no evidence of an improper motive.”
By Securities Docket on November 2, 2011, 11:11 am
IG: No inquiries harmed but SEC should have kept thousands of documents it destroyed after preliminary investigations.
By Securities Docket on October 28, 2011, 11:10 am
SEC claims FINRA altered internal documents before handing them over to agency.
By Securities Docket on September 9, 2011, 12:26 pm
Is the SEC discarding closed MUI files to help whitewash Wall Street’s dirty laundry? Don’t bet on that.
By Securities Docket on September 8, 2011, 10:09 am
SEC will “suspend the current policy out of an abundance of caution until a new policy is in place.”
By Securities Docket on August 12, 2009, 3:28 pm
A copy of the criminal information filed yesterday against Frank DiPascali is available here.