‘Enforcement 40’ for 2020
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By Securities Docket on November 12, 2019, 9:29 am
Judge Brian M. Cogan found there was insufficient evidence of criminal intent to convict Mr. Levy, and granted Mr. Nordlicht a new trial. In July, a jury had found the men, both executives at Platinum Partners, guilty of securities fraud, conspiracy to commit securities fraud and conspiracy to commit wire fraud. The case revolved around […]
By Securities Docket on September 7, 2012, 1:53 pm
Second Circuit revives decade-old SEC insider-trading case against Nelson J. Obus, a New York hedge fund manager.
By Securities Docket on August 8, 2012, 1:17 pm
Appeals court reverses convictions of six brokers and traders in “squawk box” case.
By Securities Docket on August 6, 2012, 12:22 pm
In a setback for the government, a group of ex-stock brokers and day traders have won a reversal of their criminal convictions from a federal appeals court three years after they were found guilty of using brokerage-firm “squawk boxes” to gain an improper advantage in trading stocks. via Appeals Court Reverses Convictions in ‘Squawk Box’ […]
By Securities Docket on January 10, 2012, 2:17 pm
Appeals court reverses conviction of Joseph P. Collins, a former outside lawyer to Refco.
By Securities Docket on May 13, 2009, 9:47 am
On May 7, 2009, the U.S. Court of Appeals for the Fourth Circuit reversed a lower court ruling dismissing a securities class action against Janus Capital Group. The Fourth Circuit held that plaintiffs’ claim against a subsidiary, Janus Capital Management, for violation of section 10(b) of the Exchange Act had been adequately pled, as was […]