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sec.gov - 9 hours ago
David K. Donovan, Jr. and David R. Hinkle: Lit. Rel. No. 21312 / November 23, 2009
— sec.gov — U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 21312 / November 23, 2009 Securities and Exchange Commission v. David K. Donovan, Jr. and David R. Hinkle , Civil Action No. 08-CA-10649-RWZ (D. Mass., Complaint filed April 16, 2008) Jury ... (more) David K. Donovan, Jr. and David R. Hinkle: Lit. Rel. No. ...

Comments vote down FT Alphaville found this 9 hours agofound this
ftalphaville.ft.com - 7 hours ago
SEC manages to win an insider trading case
— ftalphaville.ft.com — What's this? Has the SEC managed to successfully prosecute someone for insider trading? Looks like it, according to Reuters: Federal securities regulators won an insider trading case when a jury in Boston ruled that a former Fidelity employee ... (more) SEC manages to win an insider trading case

Comments vote down Dealbreaker found this 7 hours agofound this

SEC Latest Blog Posts

Galleon founder attacks wiretap
108 minutes ago at FT Alphaville
Washington Examiner: “A Fox Is Guarding The Henhouse At The SEC”
6 hours ago at Daily Markets
Write-Offs: 11.24.09
7 hours ago at Dealbreaker
A Twin Cities FX scandal - SEC freezes Pat Kiley assets
8 hours ago at FT Alphaville
SEC Wins One, Loses One in Insider Trading Trial
8 hours ago at Securities Docket
SEC Wins One, Loses One in Insider Trading Trial
securitiesdocket.com - 8 hours ago
SEC Wins One, Loses One in Insider Trading Trial
— securitiesdocket.com — The SEC announced today that following a seven-day trial, a federal jury in Boston found in favor of the SEC and against a former Fidelity Investments trader, David K. Donovan, on charges of insider trading. The jury returned its verdict on Friday, November 20, 2009. It found that Donovan ... (more) SEC Wins One, Loses One in Insider Trading Trial

Comments vote down bcarton bcarton posted 8 hours agoposted this
Rajaratnam Denies Inside Information, Challenges Use of Wire Taps
securitiesdocket.com - 15 hours ago
Rajaratnam Denies Inside Information, Challenges Use of Wire Taps
— securitiesdocket.com — Raj Rajaratnam, founder of Galleon Group, filed his Answer to the SEC’s insider trading case against him today, and denied that he received or traded on inside information about several companies as alleged by the SEC. The WSJ reports that Rajaratnam asserted in his Answer that the ... (more) Rajaratnam Denies Inside Information, Challenges Use of ...

Comments vote down bcarton bcarton posted 15 hours agoposted this
Securities Docket A.M. News Wire for 2009-11-24
securitiesdocket.com - 18 hours ago
Securities Docket A.M. News Wire for 2009-11-24
— securitiesdocket.com — Sparer Law Group Appointed Lead Counsel in Oppenheimer California Municipal Fund Lawsuit http://bit.ly/7l7J9v # Glancy Binkow & Goldberg LLP Appointed Co-Lead Counsel In Skilled Healthcare Group, Inc. Securities Class Action http://bit.ly/8vRIzU # Sentencing Delayed For Ex-Lawyer ... (more) Securities Docket A.M. News Wire for 2009-11-24

Comments vote down bcarton bcarton posted 18 hours agoposted this
Khuzami: SEC to Focus on Derivatives in Insider Trading Crackdown
securitiesdocket.com - 35 hours ago
Khuzami: SEC to Focus on Derivatives in Insider Trading Crackdown
— securitiesdocket.com — SEC Director of Enforcement Robert Khuzami said today that the agency will focus on derivatives as part of its crackdown on insider trading by hedge funds. Bloomberg reports that according to Khuzami, “the days of insider-trading scrutiny being focused almost solely on the equity ... (more) Khuzami: SEC to Focus on Derivatives in Insider Trading ...

Comments vote down bcarton bcarton posted 35 hours agoposted this
Smooth Transition: Preparing for IFRS
deepmarket.com - 3 days ago
Smooth Transition: Preparing for IFRS
— deepmarket.com — The SEC proposes that 2014 will be the first year for US registered companies to file their financial statements in International Financial Reporting Standards (IFRS) format. This executive brief covers how to effectively manage this upcoming transition to IFRS. You will learn how to:Form your ... (more) Smooth Transition: Preparing for IFRS

Comments vote down ecahoon ecahoon posted 3 days agoposted this
Be Careful Telling Therapist About Insider Trading
securitiesdocket.com - 4 days ago
Be Careful Telling Therapist About Insider Trading
— securitiesdocket.com — Who knew? It turns out that sometimes, your comments to your therapist about insider trading will wind up in the hands of the U.S. Senate and sent to the SEC. Full details are available in this post on my Enforcement Action blog over at Compliance Week. (more) Be Careful Telling Therapist About Insider Trading

Comments vote down bcarton bcarton posted 4 days agoposted this
Denis McInerney of Davis Polk Selected as Chief of DOJ Fraud Section.
securitiesdocket.com - 5 days ago
Denis McInerney of Davis Polk Selected as Chief of DOJ Fraud Section.
— securitiesdocket.com — Denis J. McInerney of law firm Davis Polk & Wardwell LLP has been selected to serve as the next Chief of the DOJ’s fraud section. Dow Jones Newswires reports that McInerney, a former prosecutor in the U.S. Attorney’s office in the SDNY from 1989 to 1994, will not officially be ... (more) Denis McInerney of Davis Polk Selected as Chief of DOJ ...

Comments vote down bcarton bcarton posted 5 days agoposted this
Securities Docket A.M. News Wire for 2009-11-17
securitiesdocket.com - 7 days ago
Securities Docket A.M. News Wire for 2009-11-17
— securitiesdocket.com — Rajaratnam in talks with U.S. for at least 30 days http://bit.ly/12U6E # Hackers targeting lawyers, PR firms http://bit.ly/3ZC0pw # Financial Fraud Task Force to Be Announced Today http://bit.ly/37EkBg # Debra Patalkis Joins Schiff Hardin in D.C. http://bit.ly/1rHYLw # Michael ... (more) Securities Docket A.M. News Wire for 2009-11-17

Comments vote down bcarton bcarton posted 7 days agoposted this
thebigmoney.com - 8 days ago
Subprime Justice
— thebigmoney.com — We know what you’re thinking: Why isn’t anyone in jail? By the summer of last year, it was clear that the subprime housing market was a catastrophe. Junk mortgages had been offered to janitors or day-care-center operators, and financial institutions ... (more) Subprime Justice

Comments vote down Abnormal Returns found this 8 days agofound this
Securities Docket A.M. News Wire for 2009-11-19
securitiesdocket.com - 5 days ago
Securities Docket A.M. News Wire for 2009-11-19
— securitiesdocket.com — Wells Fargo Settles Auction-Rate Case http://bit.ly/1ddhEE # Germany: Deutsche Bank's Ex-Chief Faces Fraud Case http://bit.ly/a8rBu # New Link to Top Galleon Exec in Insider-Trading Case http://bit.ly/2M6UWB # Australia: Meltdown Follows ASIC Loss in Rich Case  ... (more) Securities Docket A.M. News Wire for 2009-11-19

Comments vote down bcarton bcarton posted 5 days agoposted this
Securities Docket A.M. News Wire for 2009-11-14
securitiesdocket.com - 10 days ago
Securities Docket A.M. News Wire for 2009-11-14
— securitiesdocket.com — Web Watch: Best Blog Posts and Columns For the Week Ending Nov. 13, 2009 http://bit.ly/1o3dSQ # SEC Charges Two Madoff Computer Programmers http://bit.ly/24dBkm # "SEC: THIRD BEST FEDERAL WORKPLACE FOR 2007!" http://bit.ly/2XZzmV # PwC report: Securities litigation ... (more) Securities Docket A.M. News Wire for 2009-11-14

Comments vote down bcarton bcarton posted 10 days agoposted this
Securities Docket A.M. News Wire for 2009-11-13
securitiesdocket.com - 11 days ago
Securities Docket A.M. News Wire for 2009-11-13
— securitiesdocket.com — Inside Trading Becomes 'Systemic' at Hedge Funds, Khuzami Says http://bit.ly/1JYYi4 # Ex-Tyco director settles NJ lawsuit for $5.6 million http://bit.ly/2NWtJS # SEC's Khuzami: Enforcers To Use Undercover Techniques http://bit.ly/4l1LjW # SEC expects to proceed with Bear Stearns ... (more) Securities Docket A.M. News Wire for 2009-11-13

Comments vote down bcarton bcarton posted 11 days agoposted this
President Obama Establishes Interagency Financial Fraud Enforcement Task Force
sec.gov - 7 days ago
President Obama Establishes Interagency Financial Fraud Enforcement Task Force
— sec.gov — Attorney General Eric Holder, Treasury Secretary Tim Geithner, Housing and Urban Development (HUD) Secretary Shaun Donovan, and Securities and Exchange Commission (SEC) Chairwoman Mary Schapiro today announced that President Barack Obama has ... (more) President Obama Establishes Interagency Financial Fraud ...

Comments vote down Securities Docket found this 7 days agofound this
Post-Lehman Deja Vu As T-Bill Yields Turn Negative
zerohedge.com - 5 days ago
Post-Lehman Deja Vu As T-Bill Yields Turn Negative
— zerohedge.com — The last time Bill yields turned negative (in essence investors paying the Government to hold their money for them) was in the days after the Lehman bankruptcy, when the entire world was about to blow up. So why did Bill yield for January maturity ... (more) Post-Lehman Deja Vu As T-Bill Yields Turn Negative

Comments vote down Bear Mountain Bull found this 5 days agofound this
Michael Loesch Joins Fulbright & Jaworski in D.C.
securitiesdocket.com - 8 days ago
Michael Loesch Joins Fulbright & Jaworski in D.C.
— securitiesdocket.com — Michael Loesch has joined law firm Fulbright & Jaworski as Senior Counsel in the firm’s Washington, D.C. office. The firm announced today that Loesch will work with its securities and energy practices. Loesch previously served at the CFTC as chief of staff and chief operating officer for ... (more) Michael Loesch Joins Fulbright & Jaworski in D.C.

Comments vote down bcarton bcarton posted 8 days agoposted this
CNBC Video: Federal Financial Fraud Task Force Launches
securitiesdocket.com - 7 days ago
CNBC Video: Federal Financial Fraud Task Force Launches
— securitiesdocket.com — CNBC reports from today’s DOJ press conference, at which Attorney General Eric Holder and representatives from the U.S. Treasury and the SEC announced a new Financial Fraud Enforcement Task Force. Visit msnbc.com for Breaking News , World News , and News about the Economy (more) CNBC Video: Federal Financial Fraud Task Force Launches

Comments vote down bcarton bcarton posted 7 days agoposted this
Securities Docket A.M. News Wire for 2009-11-11
securitiesdocket.com - 13 days ago
Securities Docket A.M. News Wire for 2009-11-11
— securitiesdocket.com — Dodd Bill Would Allow Investors To Sue People Who Aid In Fraud http://bit.ly/4fFfaJ # Satyam Argues Securities Litigation Against It Belongs in India http://bit.ly/422g7j # Two Former Bear Stearns Managers Found Not Guilty of Fraud http://bit.ly/250xtN # Lessons Taken From SEC ... (more) Securities Docket A.M. News Wire for 2009-11-11

Comments vote down bcarton bcarton posted 13 days agoposted this
Video: Analyzing the SEC’s First “Reg G” Case
securitiesdocket.com - 11 days ago
Video: Analyzing the SEC’s First “Reg G” Case
— securitiesdocket.com — Yesterday, the SEC filed a case against SafeNet, Inc., its former CEO and CFO, and three former SafeNet accountants alleging two fraudulent schemes — one involving the backdating of options and the other earnings management. In this video post on my Enforcement Action blog over at Compliance ... (more) Video: Analyzing the SEC’s First “Reg G” Case

Comments vote down bcarton bcarton posted 11 days agoposted this
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