securitiesdocket.com - 11/3/2009
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November 4 Webcast – SEC Enforcement: Key Developments From FY 2009 and What May Be Ahead in FY 2010 http://bit.ly/P9imX #
Ex-Broker Kovachev Pleads Guilty to Fraud in Dreier Case http://bit.ly/14m2IR #
Report: DOJ's Mendelsohn May Move to Private Sector http://bit.ly/1iohJO # ...
Securities Docket A.M. News Wire for 2009-11-05
securitiesdocket.com 30 days ago —
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 ...
Securities Docket A.M. News Wire for 2009-05-09
securitiesdocket.com 5/9/2009 — SEC filing: Sun shareholders sue to block Oracle acquisition. http://bit.ly/IDkWD #
Today’s Webcast (May 8): Materials Available Here for “Hedge Funds: A Brave New World of Regulation and Enforcement.” http://bit.ly/HedkG #
US investors ask courts to allow UK schemes to participate in RBS class ...
Securities Docket A.M. News Wire for 2009-09-03
securitiesdocket.com 9/3/2009 —
Madoff Claimed He Was On "Short List" To Be SEC Chairman http://bit.ly/W00MU #
Schapiro: Statement on the Release of the Executive Summary of the IG's Report regarding the Madoff Fraud http://bit.ly/17nKfA #
Executive Summary of SEC IG’s Madoff Report Now Available ...
Securities Docket A.M. News Wire for 2009-09-04
securitiesdocket.com 9/4/2009 —
House, Senate Announce Hearings on SEC IG's Madoff Report #
Can the SEC Be Sued for Failing to Catch Madoff? http://bit.ly/H72Hc #
Ex-SEC Lawyer: Madoff Report Misses Point http://bit.ly/170deh #
Schumer: SEC's "Incompetence" Requires Self-Funding http://bit.ly/xIsCP #
...
Securities Docket A.M. News Wire for 2009-08-11
securitiesdocket.com 8/11/2009 —
DOJ Looks for 'Rock Star' to Lead Its Fraud Section http://bit.ly/icazh #
Judge Attacks Merrill Pre-Merger Bonuses, Demands More Information Before Approving SEC Settlementhttp://bit.ly/PUohU #
State Street Discloses Receipt of Wells Notice from SEC http://bit.ly/fjC6B #
State Street ...
Securities Docket A.M. News Wire for 2009-08-25
securitiesdocket.com 8/25/2009 —
SEC and FINRA Will Examine Goldman's Trade Tips http://bit.ly/MpPib #
SEC's Schapiro Said to Name Kroeker as Agency's Top Accountant http://bit.ly/s0p0Y #
SEC Blames Law Firms for BofA's Failure to Disclose Merrill Bonuses http://bit.ly/hiS4x #
BofA Denies Misleading Its Investors on ...
Securities Docket A.M. News Wire for May 8, 2009
securitiesdocket.com 5/8/2009 — Investors Sue KPMG, Feeder Fund in Florida State Court Over Madoff Losses. http://bit.ly/1536MW 18 mins ago
SEC cracks down on investment fraud. http://bit.ly/14yebr 25 mins ago
SEC Letters Show Early Red Flags in Stanford Case. http://bit.ly/M4Jz4 28 mins ago
UK: FSA ends investigation of ...
Securities Docket P.M. News Wire for May 7, 2009
securitiesdocket.com 5/7/2009 — SEC To Ask Congress For More Authority To Seek Civil Penalties. http://bit.ly/13sJ2I 6 mins ago
SEC’s Khuzami Seeks More Trial Lawyers Amid Surge in Inquiries. http://bit.ly/b4E2g 7 mins ago
Khuzami: SEC Close To Hiring Director For NY Office. http://bit.ly/T90vo 8 mins ago
Khuzami Calls ...
Securities Docket A.M. News Wire for 2009-05-24
securitiesdocket.com 5/24/2009 — SEC Press Release: SEC Takes Steps to Strengthen Existing Rules Governing Securities Trading by Personnel. http://bit.ly/bIzsL #
SEC to Step Up Internal Oversight, Monitor Stock Trades by Employees More Closely. http://bit.ly/HnmBL #
Securities Docket A.M. News Wire for 2009-09-05
securitiesdocket.com 9/5/2009 —
Copy of Full SEC IG Report on Failure of SEC to Uncover Madoff’s Ponzi Scheme Available Here http://bit.ly/p5mPA #
Web Watch: Best Blog Posts and Columns For the Week Ending Sept. 4 http://bit.ly/18y5zu #
Australia: E&Y Reaches $125 Million Settlement in Sons of Gwalia Case ...
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