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NY trial of ex-P&G, Goldman board member starts
Posted by Fox News | May 20th, 2012
Defense lawyers say they'll argue Gupta was a straight-shooter who only shared public information with the billionaire hedge fund boss, as devoted to raising money for charity as to Goldman's bottom line. Jury selection is scheduled to begin Monday in ...
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Defense lawyers say they'll argue Gupta was a straight-shooter who only shared public information with the billionaire hedge fund boss, as devoted to raising money for charity as to Goldman's bottom line. Jury selection is scheduled to begin Monday in ...
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What do you think about this? INSIGHT-China pays high price to spare state firm from bankruptcy
Posted by Reuters | May 20th, 2012
"It seems odd if the company is only repaying the CP but not the other debt," said Shi Lei, vice-director of fixed-income at Ping An Securities. Such bailouts reinforce the preferential access to credit enjoyed by state firms, which analysts say makes ...
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"It seems odd if the company is only repaying the CP but not the other debt," said Shi Lei, vice-director of fixed-income at Ping An Securities. Such bailouts reinforce the preferential access to credit enjoyed by state firms, which analysts say makes ...
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What do you think about this? Ex-Goldman director Rajat Gupta set for insider trading trial
Posted by CNNMoney | May 20th, 2012
Gupta's lawyers did not respond to requests for comment, though they are fighting the charges and have previously called the government's case "totally baseless." Gupta "did not trade in any securities, did not tip Mr. Rajaratnam so he could trade, ...
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Gupta's lawyers did not respond to requests for comment, though they are fighting the charges and have previously called the government's case "totally baseless." Gupta "did not trade in any securities, did not tip Mr. Rajaratnam so he could trade, ...
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What do you think about this? Social network
Posted by The Province | May 20th, 2012
Other bright lights included Lawyer Show mainstay Gerald Lecovin, QC, Lecovin and Co.; Ashley Syer, Syer Law; Elizabeth Reid and Roger Watts, Boughton Law Corp.; Laura Cundari, Blake, Cassels and Graydon LLP; Kristine Mactaggart Wright, BC Securities ...
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Other bright lights included Lawyer Show mainstay Gerald Lecovin, QC, Lecovin and Co.; Ashley Syer, Syer Law; Elizabeth Reid and Roger Watts, Boughton Law Corp.; Laura Cundari, Blake, Cassels and Graydon LLP; Kristine Mactaggart Wright, BC Securities ...
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What do you think about this? Dimon's honesty has helped him, so far
Posted by Columbus Dispatch | May 20th, 2012
Given the threat of shareholder lawsuits โ and several have been filed โ securities lawyers and crisis managers say executives would be well-served to avoid phrases such as โegregious errors.โ Gerry Silk, a plaintiff's attorney with Bernstein ...
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Given the threat of shareholder lawsuits โ and several have been filed โ securities lawyers and crisis managers say executives would be well-served to avoid phrases such as โegregious errors.โ Gerry Silk, a plaintiff's attorney with Bernstein ...
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What do you think about this? Scottsdale Securities Attorney | Phoenix AZ SEC Lawyer | Maricopa …
Posted by (author unknown) | May 20th, 2012
If you have been charged with securities fraud, call an experienced Scottsdale securities lawyer. Call Douglas F. Behm, Attorney at Law, at 480-630-3804.
www.behmlawfirm.com/.../Securities-Enforcement-Defense.sh...
What do you think about this?
If you have been charged with securities fraud, call an experienced Scottsdale securities lawyer. Call Douglas F. Behm, Attorney at Law, at 480-630-3804.
www.behmlawfirm.com/.../Securities-Enforcement-Defense.sh...
What do you think about this? Philip J. Snyderburn Maitland FL, Securities Law Lawyer – YouTube
Posted by (author unknown) | May 20th, 2012
What do you think about this?
 | http://www.srslaw.net Call (407) 647-2005 to learn more about this Martindale- Hubbellยฎ AV ... www.youtube.com/watch?v=N_3Wmzz9Eaw |
What do you think about this? Securities Law Attorney Legal Counsel in Norwalk, CT | My Blog
Posted by (author unknown) | May 20th, 2012
Securities law attorney legal representation for claims including churning, failure to diversify, hedge or supervise, breach of fiduciary duty and more.
www.bankruptcylawyernorwalkct.com/securities-law-attorney/
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Securities law attorney legal representation for claims including churning, failure to diversify, hedge or supervise, breach of fiduciary duty and more.
www.bankruptcylawyernorwalkct.com/securities-law-attorney/
What do you think about this? Bourque Industries CEO may face prison
Posted by Arizona Daily Star | May 20th, 2012
Public companies are required to disclose executive officers' past criminal convictions only if they involve securities law or fraud, said Don Davis, a Los Angeles lawyer who advises Bourque on matters of securities law.
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Public companies are required to disclose executive officers' past criminal convictions only if they involve securities law or fraud, said Don Davis, a Los Angeles lawyer who advises Bourque on matters of securities law.
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What do you think about this? Should we raise taxes on Wall Street?
Posted by Washington Post (blog) | May 20th, 2012
The idea, admits tax lawyer Lee Sheppard, would prompt bankers to โlook at you balefully, like you just ran over their dog.โ (TIMOTHY A. CLARY - AFP/GETTY IMAGES) But advocates for higher taxes on Wall Street trading hope the proposal gets a second ...
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The idea, admits tax lawyer Lee Sheppard, would prompt bankers to โlook at you balefully, like you just ran over their dog.โ (TIMOTHY A. CLARY - AFP/GETTY IMAGES) But advocates for higher taxes on Wall Street trading hope the proposal gets a second ...
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What do you think about this? Securities law | Kutsin Law
Posted by (author unknown) | May 20th, 2012
Securities law. Securities laws came into effect after the Great Depression. In the 1920s, companies issued securities back by extraordinary promises of high ...
kutsinlaw.com/securities-law/
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Securities law. Securities laws came into effect after the Great Depression. In the 1920s, companies issued securities back by extraordinary promises of high ...
kutsinlaw.com/securities-law/
What do you think about this? New financial services watchdog for UAE
Posted by The National | May 19th, 2012
What do you think about this?
| ... head of banking and finance at Habib Al Mulla, the law firm advising the Ministry of Finance as sponsor of the law. Responsibility for conduct of business will move from the Central Bank to a beefed-up Securities and Commodities Association, ... See all stories on this topic ยป |  The National |
What do you think about this? No bail for Italian sailors in India despite envoy protest
Posted by IBNLive.com | May 19th, 2012
A lawyer for the defence said they would appeal. India says the case of marines Massimiliano Latorre and Salvatore Girone is a matter for the courts and cannot be influenced by political or diplomatic pressure. Italy wants the men tried at home and ...
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A lawyer for the defence said they would appeal. India says the case of marines Massimiliano Latorre and Salvatore Girone is a matter for the courts and cannot be influenced by political or diplomatic pressure. Italy wants the men tried at home and ...
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What do you think about this? Galleon prosecutor aims to cement legacy in Gupta trial
Posted by CNBC.com | May 19th, 2012
REVOLVING DOOR There is always a revolving door between the Justice Department and big law firms. Jonathan Macey, a corporate finance and securities law professor at Yale Law School, said turnover is to be expected with long-running cases and there are ...
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REVOLVING DOOR There is always a revolving door between the Justice Department and big law firms. Jonathan Macey, a corporate finance and securities law professor at Yale Law School, said turnover is to be expected with long-running cases and there are ...
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What do you think about this? Bixby fraudster seeks to avoid prison
Posted by Minneapolis Star Tribune | May 19th, 2012
What do you think about this?
| "Mr. Collyard intends to pursue establishing an organization for metro children that emphasizes business and entrepreneurial ethics," attorney Thomas Brever wrote. The motion argues that he was not a central player in the Bixby securities fraud, ... See all stories on this topic ยป |  Minneapolis Star Tribune |
What do you think about this? Gupta's disarming lawyer seeks victory where Rajaratnam's failed
Posted by Danbury News Times | May 19th, 2012
Galleon Group LLC co-founder Raj Rajaratnam, for his trial last year on insider-trading charges, selected as his lawyer a combative ex-Marine who cursed at a cameraman after court one day. The jury, citing overwhelming evidence, voted to convict.
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Galleon Group LLC co-founder Raj Rajaratnam, for his trial last year on insider-trading charges, selected as his lawyer a combative ex-Marine who cursed at a cameraman after court one day. The jury, citing overwhelming evidence, voted to convict.
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What do you think about this? SEC joins probe of Chipotle hiring practices
Posted by Reuters | May 19th, 2012
By Lisa Baertlein (Reuters) - Chipotle Mexican Grill Inc received a subpoena from the Securities and Exchange Commission as part of an expanding investigation into its alleged hiring of undocumented workers. The Denver-based company fired about 500 ...
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By Lisa Baertlein (Reuters) - Chipotle Mexican Grill Inc received a subpoena from the Securities and Exchange Commission as part of an expanding investigation into its alleged hiring of undocumented workers. The Denver-based company fired about 500 ...
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What do you think about this? The JOBS Act โ Jammin' On Business Startups
Posted by JD Supra (press release) | May 19th, 2012
President Obama signed the JOBS Act into law last month. The Act is not named after the late entrepreneur, but had he lived to see its passage, I think Steve might have approved. In this case JOBS stands for Jumpstart Our Business Startups.
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What do you think about this?
President Obama signed the JOBS Act into law last month. The Act is not named after the late entrepreneur, but had he lived to see its passage, I think Steve might have approved. In this case JOBS stands for Jumpstart Our Business Startups.
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What do you think about this? Banks Suing Over MBIA Restructuring Finish Opening Arguments
Posted by Bloomberg | May 19th, 2012
Lawyers for banks seeking to overturn New York state regulators' approval of bond insurer MBIA Inc.'s restructuring in 2009 completed their opening arguments after three days. New York State Supreme Court Justice Barbara Kapnick in Manhattan is ...
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Lawyers for banks seeking to overturn New York state regulators' approval of bond insurer MBIA Inc.'s restructuring in 2009 completed their opening arguments after three days. New York State Supreme Court Justice Barbara Kapnick in Manhattan is ...
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What do you think about this? Fla. man pleads guilty to running Internet-based Ponzi scheme; thousands of …
Posted by Washington Post | May 19th, 2012
A lawyer for Bowdoin did not immediately return a call or email seeking comment. No sentencing date was set. A June 12 hearing will determine whether he can remain free until his sentencing. Bowdoin never revealed to investors that he had been ...
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A lawyer for Bowdoin did not immediately return a call or email seeking comment. No sentencing date was set. A June 12 hearing will determine whether he can remain free until his sentencing. Bowdoin never revealed to investors that he had been ...
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What do you think about this? Swatch loses to Bloomberg LP over analyst call
Posted by Reuters | May 19th, 2012
By Jonathan Stempel (Reuters) - A federal judge has dismissed Swatch Group SA's lawsuit accusing the news service Bloomberg LP of secretly recording a conference call with securities analysts and providing a transcript to clients without permission.
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By Jonathan Stempel (Reuters) - A federal judge has dismissed Swatch Group SA's lawsuit accusing the news service Bloomberg LP of secretly recording a conference call with securities analysts and providing a transcript to clients without permission.
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What do you think about this? USDOJ: Two Stock Promoters, a Stock Trader and a Securities Lawyer Sentenced …
Posted by 7thSpace Interactive (press release) | May 19th, 2012
WASHINGTON โ Two stock promoters, a securities lawyer and a stock trader associated with a Costa Rican brokerage firm were sentenced today in the Southern District of Florida for their participation in a stock manipulation scheme that defrauded ...
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WASHINGTON โ Two stock promoters, a securities lawyer and a stock trader associated with a Costa Rican brokerage firm were sentenced today in the Southern District of Florida for their participation in a stock manipulation scheme that defrauded ...
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What do you think about this? Be wary of extraordinary returns
Posted by Stamford Advocate | May 19th, 2012
Regular readers of this column know that I make my living as a money manager and that I got my start on Wall Street as a securities lawyer. As such, I am a skeptic of out-sized returns -- and so are the regulators. Under the Securities and Exchange ...
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Regular readers of this column know that I make my living as a money manager and that I got my start on Wall Street as a securities lawyer. As such, I am a skeptic of out-sized returns -- and so are the regulators. Under the Securities and Exchange ...
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What do you think about this? For tech companies, patents can be cash cows, huge legal expense
Posted by Bizjournals.com | May 19th, 2012
A survey published by the American Intellectual Property Law Association found that when $25 million was at risk, companies spent $5 million on legal fees. While most people's eyes glaze over when you mention patents and intellectual property law, ...
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A survey published by the American Intellectual Property Law Association found that when $25 million was at risk, companies spent $5 million on legal fees. While most people's eyes glaze over when you mention patents and intellectual property law, ...
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What do you think about this? MF Global $1 Billion Vanished Into Brokerage, Court Told
Posted by BusinessWeek | May 19th, 2012
Miller said money will come into the estate from the liquidation of securities positions and other assets, making it clearer how professionals will be paid. Dewey, once the 11th-largest law firm, is collecting bills to pay lenders owed $200 million ...
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Miller said money will come into the estate from the liquidation of securities positions and other assets, making it clearer how professionals will be paid. Dewey, once the 11th-largest law firm, is collecting bills to pay lenders owed $200 million ...
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What do you think about this? Juniper Networks GC Mitchell Gaynor on Helping the Business Grow
Posted by Corporate Counsel | May 18th, 2012
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| He graduated from UC-Hastings law school in 1984 and took his first job as an associate at now-defunct Brobeck, Phleger & Harrison as "a general purpose business and securities lawyer." The one thing Gaynor was never cut out for was litigation, ... See all stories on this topic ยป |  Corporate Counsel |
What do you think about this? Business and Entertainment Litigator Larry S. Greenfield Joins Wolf, Rifkin …
Posted by MarketWatch (press release) | May 18th, 2012
LOS ANGELES, May 18, 2012 /PRNewswire via COMTEX/ -- Wolf, Rifkin, Shapiro, Schulman & Rabkin, LLP announced that Larry S. Greenfield has joined their West Los Angeles-based law firm effective May 1, 2012, as a partner in their Litigation & Dispute ...
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LOS ANGELES, May 18, 2012 /PRNewswire via COMTEX/ -- Wolf, Rifkin, Shapiro, Schulman & Rabkin, LLP announced that Larry S. Greenfield has joined their West Los Angeles-based law firm effective May 1, 2012, as a partner in their Litigation & Dispute ...
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What do you think about this? New York Firm Brought Into Big Education Case
Posted by Connecticut Law Tribune | May 18th, 2012
What do you think about this?
| Cantwell grew up in Greenwich and was an assistant US attorney in New York before joining Debevoise, where her practice focuses on defending those charged with white collar crimes and targeted by Securities and Exchange Commission investigations. See all stories on this topic ยป |  Connecticut Law Tribune |
What do you think about this? Glaxo's Stiefel Unit Loses $1.5 Million Verdict on Buybacks
Posted by Bloomberg | May 18th, 2012
Last December, the US Securities and Exchange Commission sued, claiming Stiefel and its former CEO defrauded shareholders from 2006 to 2009. It seeks more than $110 million for shareholders. โOur client is obviously overjoyed, but the outpouring of ...
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What do you think about this?
Last December, the US Securities and Exchange Commission sued, claiming Stiefel and its former CEO defrauded shareholders from 2006 to 2009. It seeks more than $110 million for shareholders. โOur client is obviously overjoyed, but the outpouring of ...
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What do you think about this? Investors: Where's Our Money?
Posted by LoanSafe | May 18th, 2012
The company's owners, Steve Brunner, a former lawyer from Ohio who specialized in real estate, and his wife, Sherry Brunner, claimed to have had more than 3000 individuals, companies and trusts enlisted in the project in 2007.
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What do you think about this?
The company's owners, Steve Brunner, a former lawyer from Ohio who specialized in real estate, and his wife, Sherry Brunner, claimed to have had more than 3000 individuals, companies and trusts enlisted in the project in 2007.
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What do you think about this? Where are institutional investors in JPMorgan securities cases …
Posted by Alison Frankel | May 18th, 2012
My colleague Tom Hals at Reuters has written about some of the hurdles JPMorgan shareholders will have to leap over in a securities class action based on the CDS trading losses, but three plaintiffs' lawyers I talked to all said their pension ...
Alison Frankel
What do you think about this?
My colleague Tom Hals at Reuters has written about some of the hurdles JPMorgan shareholders will have to leap over in a securities class action based on the CDS trading losses, but three plaintiffs' lawyers I talked to all said their pension ...
Alison Frankel
What do you think about this? JPMorgan Suits Accuse Dimon Of Fraud — For Doing What, Exactly?
Posted by Forbes | May 18th, 2012
(Image credit: Getty Images via @daylife) Even as I was writing a piece Monday morning about the inevitability of securities-fraud lawsuits over JPMorgan Chase's $3 billion trading mess, lawyers were busily cutting and pasting familiar language to ...
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(Image credit: Getty Images via @daylife) Even as I was writing a piece Monday morning about the inevitability of securities-fraud lawsuits over JPMorgan Chase's $3 billion trading mess, lawyers were busily cutting and pasting familiar language to ...
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What do you think about this? Facebook's IPO Finra Test, TARP Sale, Bank Reports: Compliance
Posted by Bloomberg | May 18th, 2012
What do you think about this?
| Securities of such borrowers would become harder to trade and companies may be forced to borrow from less regulated lenders such as private equity firms and hedge funds, according to the Fitch report, called โBasel III: Return and Deleveraging ... See all stories on this topic ยป |  Bloomberg |
What do you think about this? Vivendi Sued for $818 Million for Misleading Investors
Posted by BusinessWeek | May 18th, 2012
By Jeremy Hodges on May 18, 2012 Vivendi SA (VIV) and Jean-Marie Messier are being sued for 644.5 million euros ($818 million) in Paris by for misleading them between 2000 and 2002, a lawyer for the claimants said. The suit, filed by 67 investors at ...
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What do you think about this?
By Jeremy Hodges on May 18, 2012 Vivendi SA (VIV) and Jean-Marie Messier are being sued for 644.5 million euros ($818 million) in Paris by for misleading them between 2000 and 2002, a lawyer for the claimants said. The suit, filed by 67 investors at ...
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What do you think about this? Aquino appoints 2 new judges to Cebu courts
Posted by Sun.Star | May 18th, 2012
She worked as Attorney in the Securities and Exchange Commission, Legislative Consultant of the City Council of Cebu City and Partner in Tanco & Partners Law Offices. - Judge Juvencio Gascon as the presiding judge of the Pasig RTC branch 68.
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She worked as Attorney in the Securities and Exchange Commission, Legislative Consultant of the City Council of Cebu City and Partner in Tanco & Partners Law Offices. - Judge Juvencio Gascon as the presiding judge of the Pasig RTC branch 68.
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What do you think about this? Dechert eyes Shanghai launch as part of China expansion
Posted by The Lawyer | May 18th, 2012
The new partner, Wang Weidong, was most recently a partner at Beijing-headquartered DeHeng Law Offices, one of China's largest law firms by headcount. Wang, who is admitted to practise in New York, is head of the DeHeng's venture capital market private ...
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The new partner, Wang Weidong, was most recently a partner at Beijing-headquartered DeHeng Law Offices, one of China's largest law firms by headcount. Wang, who is admitted to practise in New York, is head of the DeHeng's venture capital market private ...
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What do you think about this? Mayer Brown, Cleary, Davis Polk, Dewey: Business of Law
Posted by Bloomberg | May 18th, 2012
Theiss, 52, who specializes in mergers and acquisitions and capital markets, is a member of the firm's management committee and a former co-leader of its global corporate and securities practice. A focus of his three-year chairmanship will be on the ...
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Theiss, 52, who specializes in mergers and acquisitions and capital markets, is a member of the firm's management committee and a former co-leader of its global corporate and securities practice. A focus of his three-year chairmanship will be on the ...
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What do you think about this? THIS WEEK IN SECURITIES LITIGATION (Week ending May 18 …
Posted by T. Gorman | May 18th, 2012
Filed May 16, 2012) is an action against securities law recidivist Nicholas Geranio, his long time business associate Keith Field, and two entities he controlled, The Good One, Inc. and Kaleidoscope Real Estate, Inc. The defendants ...
SEC ACTIONS
What do you think about this?
Filed May 16, 2012) is an action against securities law recidivist Nicholas Geranio, his long time business associate Keith Field, and two entities he controlled, The Good One, Inc. and Kaleidoscope Real Estate, Inc. The defendants ...
SEC ACTIONS
What do you think about this? Jon Corzine โ What's Going On?
Posted by Ethical Markets | May 18th, 2012
... Global had been a publically traded securities firm with $40 billion in assets, but with liabilities even larger, filed for bankruptcy late last year, after being accused of co-mingling customer funds with its own, a flagrant violation of securities law ...
EthicalMarkets.com | Supporting...
What do you think about this?
... Global had been a publically traded securities firm with $40 billion in assets, but with liabilities even larger, filed for bankruptcy late last year, after being accused of co-mingling customer funds with its own, a flagrant violation of securities law ...
EthicalMarkets.com | Supporting...
What do you think about this? Crowdfunding security in question
Posted by Denver Business Journal | May 18th, 2012
Jackie Benson, partner and vice chair of securities and capital markets for Denver law firm Moye White LLP, says, โA lot of people are excited about the idea of using the Internet and social media to raise money in a way they couldn't before.
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What do you think about this?
Jackie Benson, partner and vice chair of securities and capital markets for Denver law firm Moye White LLP, says, โA lot of people are excited about the idea of using the Internet and social media to raise money in a way they couldn't before.
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What do you think about this? Securities and Exchange Commission faces heat from Democrats over settlements
Posted by Washington Post | May 18th, 2012
The Securities and Exchange Commission, which polices corporations, can usually count on support from Democrats and a rougher reception from Republicans. But, on Thursday, the agency found an issue on which its traditional friends are its critics and ...
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What do you think about this?
The Securities and Exchange Commission, which polices corporations, can usually count on support from Democrats and a rougher reception from Republicans. But, on Thursday, the agency found an issue on which its traditional friends are its critics and ...
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What do you think about this? Analysis: JPMorgan CEO gets crisis marks but war isn't over
Posted by Reuters | May 18th, 2012
Given the threat of shareholder lawsuits -- and several have already been filed -- securities lawyers and crisis managers both said executives would be well-served to avoid phrases like "egregious errors." The Merriam-Webster dictionary defines ...
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What do you think about this?
Given the threat of shareholder lawsuits -- and several have already been filed -- securities lawyers and crisis managers both said executives would be well-served to avoid phrases like "egregious errors." The Merriam-Webster dictionary defines ...
See all stories on this topic ยป
What do you think about this? Business Bulletin Board
Posted by STLtoday.com | May 18th, 2012
Neighbors Credit Union is partnering with Midwestern Securities Trading Co. LLC to operate the new Neighbors Investment Services. Viola L. Pancratz, principal and co-founder of St. Louis-based Project Controls Group Inc., received the Association for ...
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What do you think about this?
Neighbors Credit Union is partnering with Midwestern Securities Trading Co. LLC to operate the new Neighbors Investment Services. Viola L. Pancratz, principal and co-founder of St. Louis-based Project Controls Group Inc., received the Association for ...
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What do you think about this? Business news briefs for 05/18/12
Posted by Pittsburgh Post Gazette | May 18th, 2012
Buchanan Ingersoll & Rooney has acquired seven-lawyer litigation boutique Manion McDonough & Lucas, which opened in 1985. Joining as shareholders are Joseph F. McDonough, Kevin P. Lucas, James G. McLean, James R. Walker and Robert D. Finkel.
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What do you think about this?
Buchanan Ingersoll & Rooney has acquired seven-lawyer litigation boutique Manion McDonough & Lucas, which opened in 1985. Joining as shareholders are Joseph F. McDonough, Kevin P. Lucas, James G. McLean, James R. Walker and Robert D. Finkel.
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What do you think about this? Gupta's Lawyer Seeks Victory Where Rajaratnam's Failed
Posted by BusinessWeek | May 18th, 2012
(PG) (PG) board, is charged with conspiracy and securities fraud. Prosecutors say he gave Rajaratnam material, nonpublic information about New York-based Goldman Sachs and Cincinnati-based P&G, the world's largest consumer-products company.
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(PG) (PG) board, is charged with conspiracy and securities fraud. Prosecutors say he gave Rajaratnam material, nonpublic information about New York-based Goldman Sachs and Cincinnati-based P&G, the world's largest consumer-products company.
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What do you think about this? SEC looking at hedge fund as part of CDO inquiry
Posted by Reuters | May 18th, 2012
A lawyer for Steffelin, whose case is still pending, did not immediately respond to a request for comment. JPMorgan Chase & Co then sold the CDO to investors, who did not know Magnetar had a $600 million bet against some of the loans and securities ...
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A lawyer for Steffelin, whose case is still pending, did not immediately respond to a request for comment. JPMorgan Chase & Co then sold the CDO to investors, who did not know Magnetar had a $600 million bet against some of the loans and securities ...
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What do you think about this? ames Burns Named Deputy Director in SEC's Division of Trading and Markets
Posted by Citybizlist (press release) | May 18th, 2012
Before joining the SEC in 2008, Mr. Burns was a securities lawyer in private practice who focused on investment management and broker-dealer regulatory and enforcement matters. He previously served as a law clerk to now-chief Judge William B. Traxler ...
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What do you think about this?
Before joining the SEC in 2008, Mr. Burns was a securities lawyer in private practice who focused on investment management and broker-dealer regulatory and enforcement matters. He previously served as a law clerk to now-chief Judge William B. Traxler ...
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What do you think about this? Seattle investment adviser charged in $47 million fraud
Posted by The Seattle Times | May 18th, 2012
A federal grand jury Thursday indicted Spangler on 23 criminal counts, including wire fraud, money laundering and investment-adviser fraud, according to the US Attorney's Office. Parallel civil charges were filed by the Securities and Exchange ...
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A federal grand jury Thursday indicted Spangler on 23 criminal counts, including wire fraud, money laundering and investment-adviser fraud, according to the US Attorney's Office. Parallel civil charges were filed by the Securities and Exchange ...
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What do you think about this? Roest gets six-and-a-half years' jail
Posted by Stuff.co.nz | May 18th, 2012
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| ROB ROEST: Ex Bridgecorp director was sentenced in the High Court after being convicted on 18 Crimes and Securities Act charges. Former Bridgecorp director Rob Roest has been sentenced to six and a half years in prison following his conviction on ... See all stories on this topic ยป |  Stuff.co.nz |
What do you think about this? Alleged 'boiler room' mastermind charged
Posted by NEWS.com.au | May 18th, 2012
An investigation led by the US Securities and Exchange Commission (SEC) and involving the Australian Securities and Investments Commission and other global financial watchdogs has allegedly unearthed a scheme created by Hawaiian resident Nicholas Louis ...
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What do you think about this?
An investigation led by the US Securities and Exchange Commission (SEC) and involving the Australian Securities and Investments Commission and other global financial watchdogs has allegedly unearthed a scheme created by Hawaiian resident Nicholas Louis ...
See all stories on this topic ยป
What do you think about this? 