‘Enforcement 40’ for 2020
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By Securities Docket on May 10, 2010, 3:54 pm
Wells notice connected to registration as a nationally recognized statistical rating organization.
By Amanda Harding on March 25, 2010, 3:47 pm
SEC issues Wells notice to two subsidiaries and an executive of First Horizon National Corporation.
By Securities Docket on November 16, 2009, 3:11 pm
Beazer Homes files Form 8-K disclosing Wells Notice to CEO.
By Securities Docket on October 23, 2009, 2:04 pm
SEC staff recommending enforcement action related to the market in certain fixed income securities.
By Securities Docket on October 21, 2009, 11:06 am
Company and several executives receive Wells Notices.
By Securities Docket on August 21, 2009, 4:41 pm
The SEC drops a stock options backdating investigation against former Pixar CFO.
By Securities Docket on August 12, 2009, 2:10 pm
Eight years and nine investigations after certain trades that occurred in 2001, the SEC staff has sent Pequot Capital Management a Wells Notice notifying Pequot that it intends to recommend that the Commission bring an enforcement action against the firm. As discussed here and here in excruciating detail, the trades under investigation relate to General […]
By Securities Docket on August 10, 2009, 3:07 pm
In its Form 10-Q filed August 7, 2009, State Street Corp. disclosed that on June 25, 2009, SEC staff sent it a Wells notice related to the SEC’s ongoing investigation into disclosures and management by SSgA of its active fixed-income strategies during 2007 and prior periods. The company stated that The SEC Staff has informed […]
By Securities Docket on July 23, 2009, 12:04 pm
The SEC has reportedly issued Wells notices to certain executives at AIG’s Financial Products unit. Citing the July issue of Corporate Counsel magazine, ABC News reports that Wells notices have gone out to multiple executives indicating the SEC staff’s intention to recommend that the Commission pursue enforcement action. Read the ABC News article
By Securities Docket on July 15, 2009, 12:19 pm
In a Form 8-K filed today by Regions Financial, the company announced that on July 9, 2009, its wholly-owned subsidiary, Morgan Keegan & Company, Inc., received a “Wells” notice from the Staff of the Atlanta Regional Office of the SEC. Regions Financial disclosed that the SEC staff intends to recommend that the Commission bring enforcement […]