‘Enforcement 40’ for 2020
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By Securities Docket on October 29, 2013, 8:19 am
The corporate watchdog wants tougher penalties for white collar criminals after complaints that recent sentences have been out of step with community expectations.The proposed crackdown comes after the former chief executive of Gunns was fined only $50,000, despite making $3 million from insider trading. via ASIC chairman Greg Medcraft wants tougher penalties for white collar […]
By Securities Docket on September 4, 2013, 1:44 pm
…. We have recently completed, and intend to maintain, a database of SEC enforcement practices, and in this post, we shed some factual light on what the SEC actually does with respect to prosecuting and penalizing individual and corporate defendants. Specifically, we answer three questions: First, who does the SEC name as defendants—high level executives, […]
By Securities Docket on August 28, 2013, 8:15 am
When Mary Jo White was installed as the SEC’s chair in April, I thought she would be extremely competent at her new role, but that her tenure would not necessarily change the Commission dramatically from that of her predecessor Mary Schapiro. Four months in, the record has some hints that White is actually putting her […]
By Securities Docket on January 2, 2013, 10:53 am
Prof. John C. Coffee, Jr. on a “disturbingly persistent pattern” that has emerged in U.S. Securities and Exchange Commission enforcement cases.
By Securities Docket on October 16, 2012, 1:10 pm
SEC Chair Mary Schapiro lobbies for a pending bill that would provide the agency with greater penalty authority.
By Securities Docket on August 16, 2012, 2:15 pm
The ink is barely dry on the 2010 Dodd-Frank financial-reform law, but Congress is already considering new legislation that would grant the Securities and Exchange Commission its latest wish list of much higher financial penalties, especially against recidivists…. There is scant evidence that increasing penalties again would improve deterrence or financial compliance, but that is […]
By Securities Docket on March 26, 2012, 6:55 pm
Biomet Inc. agrees to pay $17.2 million criminal penalty in foreign bribery case.
By Securities Docket on December 19, 2011, 1:12 pm
“The real difficulty lies in gathering evidence to prove a crime took place.”
By Securities Docket on November 9, 2011, 12:11 pm
Court finds Rajaratnam finds liable for a $92 million civil monetary penalty in SEC insider trading case.