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Browse: Home / Hearings

Hearings

SEC Nominees Poised for Clear Sailing – WSJ

By Securities Docket on June 27, 2013, 8:19 am

President Barack Obama’s nominees for the Securities and Exchange Commission are expected to sail through a Senate confirmation hearing on Thursday thanks in part to a key line on their résumés: Senate aide. Kara Stein and Mike Piwowar, nominated to fill out the remainder of five-year terms as commissioners, are set to testify before the […]

Posted in SEC, Top | Tagged Commissioners, Hearings, US Congress

Corporate settlement policy unlikely to be changed by Congress

Corporate settlement policy unlikely to be changed by Congress

By Securities Docket on May 17, 2012, 7:33 pm

Republican lawmakers agree judges should avoid micro-managing SEC settlement agreements.

Posted in SEC, Top | Tagged Hearings, US Congress

Judge: FCPA "Sting" Cases Will Not Be Tried This Year

Judge: FCPA “Sting” Cases Will Not Be Tried This Year

By Amanda Harding on April 13, 2010, 10:32 pm

Judge says most of the Spring 2010 proceedings will be dedicated to discovery.

Posted in Criminal | Tagged FCPA, Hearings

Skilling Argues to Supreme Court that Houston Jury Pool Was Tainted

Skilling Argues to Supreme Court that Houston Jury Pool Was Tainted

By Amanda Harding on March 2, 2010, 5:30 pm

Former Enron CEO argues that he could not get a fair trial in Houston.

Posted in Criminal | Tagged Appellate, Hearings, Insider Trading

SEC Galleon Wiretap Request Blocked on Appeal

SEC Galleon Wiretap Request Blocked on Appeal

By Securities Docket on February 12, 2010, 1:36 pm

Second Circuit grants Rajaratnam temporary stay of order requiring him to provide wiretap evidence to SEC.

Posted in Criminal, SEC | Tagged Appellate, Hearings, Insider Trading

UK: Pre-Trial Hearing Held for Former Cazenove Partner

UK: Pre-Trial Hearing Held for Former Cazenove Partner

By Amanda Harding on February 11, 2010, 4:47 pm

Pre-trial proceedings begin in FSA’s insider trading case against former Cazenove partner Malcolm Calvert.

Posted in Global | Tagged Hearings, Insider Trading, UK

N.C. Judge Upholds Settlement in Wachovia Shareholder Litigation

N.C. Judge Upholds Settlement in Wachovia Shareholder Litigation

By Securities Docket on February 8, 2010, 11:40 pm

Judge upholds settlement in shareholder lawsuit over sale of Wachovia to Wells Fargo.

Posted in Class Actions | Tagged Class Actions, Hearings | 1 Response

SEC Admits It Received Galleon Wiretaps Mistakenly Sent by SDNY

SEC Admits It Received Galleon Wiretaps Mistakenly Sent by SDNY

By Amanda Harding on February 4, 2010, 3:35 pm

Federal prosecutors mistakenly sent SEC wiretaps from Galleon criminal investigation.

Posted in Criminal, SEC | Tagged Hearings, Insider Trading, Wiretaps

Irving Picard (left) with his attorney David Sheehan

Madoff Victims Challenge Trustee’s Payout Formula

By Securities Docket on February 3, 2010, 1:12 pm

Madoff victims challenge trustee’s proposed distribution of funds.

Posted in Criminal | Tagged Hearings, Madoff, SIPC | 3 Responses

Wrap-Up: Panel Discussion on Senate Hearing on Madoff Report

Wrap-Up: Panel Discussion on Senate Hearing on Madoff Report

By Securities Docket on September 10, 2009, 5:38 pm

Read the archived version of today’s lively panel discussion.

Posted in SEC | Tagged Hearings, US Congress

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