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  • Spencer Barasch, Head Of Enforcement For The SEC's Fort Worth Office, To Leave The Commission

    Date 09/03/2005

    The SEC announced today that Spencer C. Barasch will leave the Commission in April to become a partner in the Dallas office of the law firm of Andrews Kurth LLP. For the past seven years, as the senior enforcement official in the Commission's Fort Worth Office, Barasch has led the Commission's enforcement program in a four state area of the Southwest. Before that, he held various other positions in the Commission, including Assistant Director in the Commission's Southeast Office in Miami, Fla.

  • Securities Industry Association: Keep The ‘Self’ In Self-Regulation - SIA Offers Recommendations For Addressing Shortcomings Without Losing Key Benefits Of Self-Regulation

    Date 09/03/2005

    The Securities Industry Association today called on the Securities and Exchange Commission to focus its efforts at self-regulatory reform on preserving the key benefits of self-regulation, while addressing its shortcomings. In a comment letter filed today on the SEC’s SRO Governance and Transparency Proposal and SRO Concept Release, SIA made several specific recommendations for enhancing and improving self-regulation.

  • SEC Charges Two Friends Of Former ImClone CEO Samuel Waksal With Insider Trading

    Date 09/03/2005

    The Securities and Exchange Commission today charged Zvi Fuks and Sabina Ben-Yehuda, two friends of the former CEO of ImClone Systems Inc., Samuel Waksal, with insider trading in ImClone securities in December 2001. The Commission charged that Ben-Yehuda and Fuks sold ImClone stock after receiving an illegal tip from Waksal just before the FDA denied approval of ImClone's cancer treatment drug.

  • SEC Charges Floor Clerk At NYSE With Alerting Trader To Large Orders In Return For Cash Payments

    Date 09/03/2005

    The Securities and Exchange Commission today charged Frank J. Furino, a former clerk for a New York Stock Exchange floor broker, for his role in a fraudulent “trading ahead” scheme. Furino is charged with disclosing large, pending block orders from institutional customers to a day trader in return for cash payments between August 2000 and December 2001. The Commission alleges that the day trader traded ahead of the customer orders and profited on short-term price movements when the block order w

  • Results Of LME Shareholder Representative Elections Announced

    Date 09/03/2005

    The London Metal Exchange (LME) has today confirmed the election results for shareholder representative directors to the board of LME Holdings Limited, effective from 1 April 2005.

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