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Browse: Home / Documents

Documents

Lawyer Accused of Options Backdating Says SEC Mishandled Millions of Documents

Lawyer Accused of Options Backdating Says SEC Mishandled Millions of Documents

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.

Posted in SEC, Top | Tagged Discovery, Documents, Options Backdating

SEC IG Report Finds No Evidence of Improper Motive Behind Agency Destroying MUI Documents

SEC IG Report Finds No Evidence of Improper Motive Behind Agency Destroying MUI Documents

By Securities Docket on November 3, 2011, 3:11 pm

IG finds “no evidence of an improper motive.”

Posted in SEC, Top | Tagged Documents

No S.E.C. Inquiries Harmed by Document Destruction, Report Says

No S.E.C. Inquiries Harmed by Document Destruction, Report Says

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.

Posted in SEC, Top | Tagged Documents, Inspector General, Investigations

SEC accuses FINRA of altering internal documents

SEC accuses FINRA of altering internal documents

By Securities Docket on October 28, 2011, 11:10 am

SEC claims FINRA altered internal documents before handing them over to agency.

Posted in Industry, SEC, Top | Tagged Documents, Regulators

Back to Reality: Debunking the SEC ‘Whitewash’ Theory

Back to Reality: Debunking the SEC ‘Whitewash’ Theory

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.

Posted in SD Insider, SEC, Top | Tagged Documents

SEC Shifts Tack on Document Destruction Amid Whistleblower Threat

SEC Shifts Tack on Document Destruction Amid Whistleblower Threat

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.”

Posted in SEC, Top | Tagged Documents, Policies

Copy of Criminal Information Filed Against Frank DiPascali

By Securities Docket on August 12, 2009, 3:28 pm

A copy of the criminal information filed yesterday against Frank DiPascali is available here.

Posted in Criminal | Tagged Documents, Madoff

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