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On November 9, 2009, Robert Miller, 52, of Englewood, New Jersey pleaded guilty to conspiracy to commit securities fraud and wire fraud, as well as securities fraud, at a hearing before U.S. Magistrate Judge Ronald L. Ellis in Manhattan. He agreed to forfeit the compensation of $100,000 from Dreier in November 2008 for impersonating both a ...
Class action securities fraud lawsuits rose 43 percent between 2006 and 2007, according to the Stanford Law School Securities Class Action Clearinghouse. During 2006 and 2007, securities fraud class actions were driven by market wide events, such as the 2006 backdating scandal and the 2007 subprime crisis.
The Raj Rajaratnam/Galleon Group, Anil Kumar, and Rajat Gupta inside trading cases are parallel and related civil and criminal actions by the U.S. Securities and Exchange Commission and the United States Department of Justice against three friends and business partners: Galleon Group hedge fund founder-owner Raj Rajaratnam and former McKinsey & Company senior executives Anil Kumar and Rajat Gupta.
Hawkins was convicted by a federal jury in February for investor advisor fraud, securities fraud and two counts of wire fraud. Hawkins’ law license was suspended by the Kentucky Bar Association ...
As the scandal first came to light, Kidder Peabody hired lawyer Gary G. Lynch from the law firm of Davis, Polk & Wardwell, the former enforcement chief of the Securities and Exchange Commission, to conduct an internal investigation. The result was an 86-page document that became known as the Lynch Report.
Samsung Electronics Chairman Jay Y. Lee was found not guilty of accounting fraud and stock manipulation by a Seoul appeals court on Monday, in a ruling that could remove long-running legal risks ...
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