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Browse: Home / Subpoenas / Page 2

Subpoenas

SEC Subpoena Enforcement for Documents and Testimony Results in Rare Arrest – Compliance Week

By Securities Docket on January 23, 2014, 8:08 pm

It is a long and rarely-traveled road between receiving a subpoena for documents or testimony from the SEC and actually getting yourself arrested, but Anthony Coronati completed the journey down that road today when he was arrested by the U.S. Marshals Service. via SEC Subpoena Enforcement for Documents and Testimony Results in Rare Arrest – […]

Posted in SEC, Top | Tagged Contempt of Court, Subpoenas

Bristol-Myers Gets SEC Subpoena In Foreign Bribery Probe

Bristol-Myers Gets SEC Subpoena In Foreign Bribery Probe

By Securities Docket on April 30, 2012, 12:38 pm

Bristol-Myers discloses SEC subpoena seeking information related to sales and marketing practices in “various countries.”

Posted in SEC, Top | Tagged FCPA, Subpoenas

Deloitte Warns Complying With SEC Demand May Land Its Partners in Chinese Prison

Deloitte Warns Complying With SEC Demand May Land Its Partners in Chinese Prison

By Securities Docket on April 13, 2012, 4:07 pm

Deloitte Touche Tohmatsu warns of grave risks if it produces workpapers demanded by the SEC.

Posted in Global, SEC, Top | Tagged Auditors, China, Subpoenas

SEC Files Rare Subpoena Enforcement Action against Wells Fargo -- Cady Bar the Door

SEC Files Rare Subpoena Enforcement Action against Wells Fargo — Cady Bar the Door

By Securities Docket on March 27, 2012, 1:32 pm

Under what circumstances will the SEC file a subpoena enforcement action to seek to compel production of documents?

Posted in SEC | Tagged Subpoenas, Web Watch

U.S. Court Fight May Not Solve Chinese Accounting Mess

U.S. Court Fight May Not Solve Chinese Accounting Mess

By Securities Docket on September 15, 2011, 12:09 pm

Deloitte says Chinese law prohibits it from turning over documents to foreign regulators.

Posted in Global, SEC, Top | Tagged China, Subpoenas

SEC Files Subpoena Enforcement Action Against Deloitte & Touche in Shanghai

SEC Files Subpoena Enforcement Action Against Deloitte & Touche in Shanghai

By Securities Docket on September 9, 2011, 11:09 am

Action follows firm’s alleged failure to produce documents related to SEC’s investigation into possible fraud by firm’s client, Longtop Financial.

Posted in Global, SEC, Top | Tagged Subpoenas

SEC Issues Flurry of Subpoenas Related to Hedge Funds, Bankers

SEC Issues Flurry of Subpoenas Related to Hedge Funds, Bankers

By Securities Docket on December 2, 2009, 10:27 am

SEC reportedly probing trading before numerous health care and retail deals.

Posted in SEC | Tagged Insider Trading, Subpoenas

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