‘Enforcement 40’ for 2020
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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
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.”
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
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?
By Securities Docket on September 15, 2011, 12:09 pm
Deloitte says Chinese law prohibits it from turning over documents to foreign regulators.
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.
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