Top SEC News, Videos, and Blogs - WallStreetBlips

To The SEC: Prove It

Sat, 7 Nov 2009 20:22:51 +0000

"Everyone likes to make a buck. But nobody wants to play in a rigged casino - unless they're one of the people who is either being kicked back profits for doing the rigging or one of the beneficiaries."

iehi posted 6 hours ago from hf-implode.com

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Securities Docket A.M. News Wire for 2009-11-07

Sat, 7 Nov 2009 10:55:00 +0000

Web Watch: Best Blog Posts and Columns For the Week Ending Nov. 6, 2009 http://bit.ly/1UiYNv # FINRA: How Well Do You Know Your Cleaning Crew? http://bit.ly/1Y7fHx # Thank You to Our Sponsors http://bit.ly/3qHefI # Former Jeffries Money Manager Indicted for Insider Trading ...

bcarton posted 16 hours ago from securitiesdocket.com

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Khuzami: 2009 SEC Quote of the Year

Fri, 6 Nov 2009 17:25:52 +0000

It is still only November, but here is your leader in the clubhouse for 2009 SEC Quote of the Year (it comes from Enforcement Director Rob Khuzami): “There should be a moment — hopefully before you’re holding a bag of cash delivered to you by somebody codenamed ‘the Octopussy’ — that causes ...

bcarton posted 33 hours ago from securitiesdocket.com

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Web Watch: Best Blog Posts and Columns For the Week Ending Nov. 6, 2009

Fri, 6 Nov 2009 21:35:50 +0000

Here is the weekly summary for Securities Docket’s Web Watch (”This Week’s Best Blog Posts and Columns”): What Preet Bharara Spent to Get Galleon (The New York Observer) New York Observer | November 6, 2009 Preet Bharara spent some serious money to listen in on Galleon Group founder Raj ...

bcarton posted 29 hours ago from securitiesdocket.com

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Two New Twitter ‘Lists’ You Can Use

Fri, 6 Nov 2009 17:08:34 +0000

Twitter has recently introduced a useful new “lists” feature that allows users to make lists of feeds in categories of their own choosing. Even if you are not actively using Twitter and do not have an account, you can still use lists to follow the updates of entire groups of people ...

bcarton posted 34 hours ago from securitiesdocket.com

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Friday Outlook: Wall Street Roulette

Fri, 6 Nov 2009 13:12:49 +0000

November 5, 2009 WALL STREET ROULETTE Wow! You can t make up this much two-way action except with a roulette wheel. For the tourists, Da Boyz got the DJIA back to 10,000 but volume was again relatively light which is mystifying. Once again shorts are squeezed and this two-way action is ...

Phil’s Stock World found this 37 hours ago on seekingalpha.com

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Securities Docket A.M. News Wire for 2009-11-06

Fri, 6 Nov 2009 10:55:00 +0000

Octopussy and the Golden Goose http://bit.ly/2ODHk9 # AmLaw Video: Challenges Facing the SEC http://bit.ly/3WUZZJ # SEC, DOJ Charge "Octopussy" and Lawyers With Insider Trading http://bit.ly/2V5M7F # Mozilo's Motion to Dismiss is shot down by judge http://bit.ly/49wTcr ...

bcarton posted 40 hours ago from securitiesdocket.com

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SEC, DOJ Charge “Octopussy” and Lawyers With Insider Trading

Thu, 5 Nov 2009 19:30:53 +0000

As SEC Enforcement Director Rob Khuzami said today , “If you find yourself chewing the card of a cell phone…something has gone terribly wrong.” Indeed. The SEC filed a huge insider trading case today against two lawyers, six Wall Street traders (including one dubbed “Octopussy”) ...

bcarton posted 2 days ago from securitiesdocket.com

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Octopussy and the Golden Goose

Thu, 5 Nov 2009 20:47:21 +0000

If you are in an insider trading ring and your ring-buddies are using a “nickname” of any kind for you or others involved, it is all but certain that the nickname is going to be prominently mentioned when the SEC issues its press release about the case. As discussed in this post on my ...

bcarton posted 2 days ago from securitiesdocket.com

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AmLaw Video: Challenges Facing the SEC

Thu, 5 Nov 2009 20:02:16 +0000

Does the SEC’s Division of Enforcement need more power? In this “Sidebar” video from the American Lawyer, Ralph Ferarra of Dewey & LeBoeuf tells AmLaw’s Andrew Longstreth that more power is not the answer.

bcarton posted 2 days ago from securitiesdocket.com

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SEC Charges Wall Street Lawyers and Traders in $20 Million Insider Trading Scheme

Thu, 5 Nov 2009 17:52:11 +0000

The Securities and Exchange Commission today charged a pair of lawyers for tipping inside information in exchange for kickbacks as well as six Wall Street traders and a proprietary trading firm involved in a $20 million insider trading scheme.

FT Alphaville found this 2 days ago on sec.gov

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Securities Docket A.M. News Wire for 2009-11-05

Thu, 5 Nov 2009 10:55:00 +0000

Archived Version of Nov. 4 Webcast-SEC Enforcement: Key Developments From FY 2009 And What May Be Ahead In FY 2010 http://bit.ly/VTZ2O # House Committee Approves Over $1 Billion in Additional Funds for SEC http://bit.ly/33t25m # SEC Sues Merge Healthcare, Former CEO and CFO, For ...

bcarton posted 2 days ago from securitiesdocket.com

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Today’s Best Market Rumors (11/5/2009) (JAVA)(ORCL)(BAC)(DELL)

Thu, 5 Nov 2009 21:00:00 +0000

Updated throughout the day. The New York Yankee victory in the World Series could help stock prices (various) Oracle (NASDAQ:ORCL) could drop its deal to buy Sun (NASDAQ:JAVA) in the face of opposition to the deal from the EU. (Forbes) Bank of America (NYSE:BAC) may look outside the banking ...

BloggingStocks found this 2 days ago on 247wallst.com

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CEO Mozilo must face SEC fraud case

Thu, 5 Nov 2009 13:08:15 +0000

Gina Keating NEW YORK/LOS ANGELES (Reuters) - A federal judge rejected a request by Angelo Mozilo, the former chief executive of mortgage lender Countrywide Financial Corp, to dismiss a U.S. Securities and Exchange Commission lawsuit accusing him of securities fraud and insider trading. In a ...

Dealbreaker found this 2 days ago on reuters.com

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Archived Version of Nov. 4 Webcast–SEC Enforcement: Key Developments From FY 2009 And What May Be Ahead In FY 2010

Wed, 4 Nov 2009 22:36:33 +0000

An archived version of today’s webcast (”"SEC Enforcement: Key Developments From FY 2009 And What May Be Ahead In FY 2010″) is now available below. In addition, the materials from the webcast can also be downloaded at the link below. Webcast Materials: “ SEC ...

bcarton posted 3 days ago from securitiesdocket.com

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House Committee Approves Over $1 Billion in Additional Funds for SEC

Wed, 4 Nov 2009 22:19:48 +0000

The House Financial Services Committee today approved more than $1 billion in additional funds annually over five years to the SEC. MarketWatch reports that such an increase would represent a doubling of the agency’s funding. In addition to raising its funding, the approved legislation ...

bcarton posted 3 days ago from securitiesdocket.com

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SEC Sues Merge Healthcare, Former CEO and CFO, For Accounting Fraud

Wed, 4 Nov 2009 22:04:37 +0000

The SEC announced today that it has charged Merge Healthcare Inc. and two former senior executives for their roles in an accounting fraud that ultimately caused the company’s stock price to drop by two-thirds during a seven-month period. The SEC alleges that the company’s ...

bcarton posted 3 days ago from securitiesdocket.com

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Today’s Webcast (Nov. 4) – Materials Available Here for “SEC Enforcement: Key Developments From FY 2009 And What May Be Ahead In FY 2010″

Wed, 4 Nov 2009 16:34:31 +0000

The presentation materials for today’s webcast (2 pm Eastern) entitled “ SEC Enforcement: Key Developments From FY 2009 And What May Be Ahead In FY 2010 ” are now available here. Please visit the link below to download the presentation. Webcast Materials: “ SEC ...

bcarton posted 3 days ago from securitiesdocket.com

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Fifth Circuit Questions Stanford Trustee’s Standing to Pursue Investor’s Withdrawn Principal

Wed, 4 Nov 2009 15:47:08 +0000

On Monday, the Fifth Circuit heard oral arguments in the clawback case initiated by the receiver of Stanford International Bank, Ralph Janvey. The AmLaw Litigation Daily reports that Janvey is seeking to recover the principal certain investors withdrew from Stanford shortly before the alleged ...

bcarton posted 3 days ago from securitiesdocket.com

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Securities Docket A.M. News Wire for 2009-11-04

Wed, 4 Nov 2009 10:55:00 +0000

Hedge Fund Counsel to Lead SEC's New York Examinations Group http://bit.ly/Tp1fM # Madoff Report Exhibit List: Now in Usable Form! http://bit.ly/2lL6MU # November 9 Webcast: OTC Derivatives and Structured Products in the New Economy http://bit.ly/3aQN8f # Madoff Auditor Friehling ...

bcarton posted 3 days ago from securitiesdocket.com

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