securities-fraud

In part they focused on Mr. Freeman pleading guilty to conspiracy to commit securities fraud and single count of securities fraud, rather than 18 underlying securities-fraud counts.

Witness Details Alleged Illicit Trades Chad Bray 2011

The SEC recently filed civil securities-fraud charges against the big Wall Street firm and a trader in its mortgage group.

POLITICAL HOT TOPICS: Friday, April 30, 2010 2010

His sentencing in the criminal guilty plea, to a single federal securities-fraud count, is set for Aug. 12.

Inside Trader at Nasdaq Had Drug-Abuse Record Jenny Strasburg 2011

Mr. Kumar, who is cooperating with prosecutors, has pleaded guilty to conspiracy and securities-fraud charges and testified that he was still resolving his tax issues with the Internal Revenue Service.

Galleon Defense Blasts Prosecution Case as 'Make-Believe' Chad Bray 2011

Mr. Rajaratnam is expected to go to trial late next month on conspiracy and securities-fraud charges.

Prosecutors: New Detail in Galleon Case Chad Bray 2011

Mr. Tourre's lawyers argued that the SEC's lawsuit should be dismissed in part because of a U.S. Supreme Court ruling last year that restricted the ability of investors to pursue securities-fraud claims involving transactions outside the U.S. or foreign shares.

Goldman's Tourre Sheds Some Charges in SEC Suit Chad Bray 2011

NEW YORK— Goldman Sachs Group Inc. bond trader Fabrice Tourre on Friday lost his bid to dismiss a civil securities-fraud lawsuit by the Securities and Exchange Commission over the marketing and sale of a complex financial instrument tied to subprime mortgages.

Goldman's Tourre Sheds Some Charges in SEC Suit Chad Bray 2011

Judge Parker said that going to Kennedy airport and boarding flights to meetings with investors weren't a "constitutive part" of the securities-fraud offense with which Mr. Butler was charged.

Credit Suisse Ex-Broker Wins Part of 'Auction-Rate' Appeal Chad Bray 2011

Last June, the U.S. Supreme Court found plaintiffs in a lawsuit against National Australia Bank Ltd. had no standing to bring securities-fraud claims in U.S. courts because they were Australian shareholders who bought shares of a foreign company overseas.

Goldman's Tourre Sheds Some Charges in SEC Suit Chad Bray 2011

Markets Danielle Chiesi, a key figure in the Galleon case, pleaded guilty to securities-fraud charges.

China's Rise, Google's Surprise, Big Mob Bust 2011