Compliance » Securities Litigation and News, Week Ending October 11

Securities Litigation and News, Week Ending October 11

October 14, 2013

iStock_000004336679SmallSTOCK PRICES 420-470

Another warning about tough enforcement from the SEC chief; a Transparency International report that says the United States, by way of the Foreign Corrupt Practices Act, has the most “developed and active foreign bribery legal and enforcement regime” in the world; and conclusions to a number of SEC enforcement actions, including an insider trading case relating to the acquisition of JD Heinz Company by Berkshire Hathaway and 3D Capital, resolved with a $1,809,857 disgorgement and $3 million penalty.

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