By Amanda Harding on April 21, 2010, 3:55 pm
Bill would retroactively apply to Madoff victims.
Posted in Regulation | Tagged Madoff
By Amanda Harding on April 21, 2010, 3:34 pm
Google will make financial disclosures exclusively on this “recognized channel.”
Posted in Regulation | Tagged Regulation, Regulation FD
By Amanda Harding on April 15, 2010, 11:20 pm
The SEC seeks five hedge fund managers for its new Asset Management unit.
Posted in SEC | Tagged Hedge Funds, Regulators
By Amanda Harding on April 15, 2010, 10:59 pm
SEC subpoenas documents relating to customer complaints and resignation of Pre-Paid Legal’s CEO.
Posted in SEC | Tagged Investigations
By Amanda Harding on April 15, 2010, 10:55 pm
SEC’s Greenberg discusses focus of new Municipal Securities and Public Pensions Unit.
Posted in SEC | Tagged Regulators
By Amanda Harding on April 13, 2010, 10:54 pm
Petters sentenced for orchestrating the largest fraud in Minnesota’s history.
Posted in Criminal | Tagged Financial Fraud, Sentencing
By Amanda Harding on April 13, 2010, 10:39 pm
Former Maxim CFO blames deceased CEO for options backdating scandal.
Posted in Criminal | Tagged Options Backdating, Trials
By Amanda Harding on April 13, 2010, 10:32 pm
Judge says most of the Spring 2010 proceedings will be dedicated to discovery.
Posted in Criminal | Tagged FCPA, Hearings
By Amanda Harding on April 8, 2010, 10:13 pm
Equities dealer at Orion Asset Management pleads guilty to insider trading.
Posted in Global | Tagged Australia, Guilty Pleas, Insider Trading
By Amanda Harding on April 8, 2010, 10:00 pm
Sean Coffey intends to focus on the “gatekeepers” in the securities world.
Posted in Industry, People | Tagged Attorney Generals, Lawyers