Jan. 13 Webcast: Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions (2019 Update)

Jan. 13 Webcast: Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions (2019 Update)

By Securities Docket on December 5, 2019, 6:38 pm

Please join F. Joseph Warin, John W.F. Chesley, Sean X. McKessy and Jim Barratt for this free webcast.

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Dec. 10 Webcast: SEC Enforcement — Current Developments and What’s Ahead for 2020

Dec. 10 Webcast: SEC Enforcement — Current Developments and What’s Ahead for 2020

By Securities Docket on November 14, 2019, 10:59 am

Please join Bill McLucas, Doug Davison and Marty Wilczynski for this free webcast.

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Guest Column — Snapshot of a Cleaner Street: Another Landmark Year for Securities Enforcement

Guest Column — Snapshot of a Cleaner Street: Another Landmark Year for Securities Enforcement

By Securities Docket on November 13, 2019, 11:57 am

Guest columnist Jordan Thomas breaks down the recently-released 2019 Annual Report of the SEC’s Division of Enforcement.

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March 25 Webcast: Leveraging Data Analytics to Minimize Risk in the Financial Services Industry

March 25 Webcast: Leveraging Data Analytics to Minimize Risk in the Financial Services Industry

By Securities Docket on March 7, 2019, 3:27 pm

Please join Joshua Dennis, Ellen Lafferty, Dan Ward and A.J. Bosco for this webcast.

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Trump pardons Michael Milken, grants clemency to Kerik, Blagojevich

By Securities Docket on February 18, 2020, 4:40 pm

President Donald Trump issued a pardon Tuesday to Michael Milken, the former junk bond king who was a face of the insider trading scandals of the 1980s. Trump, in announcing the pardon, cited the “incredible job” that Milken has done supporting cancer research since pleading guilty in 1990 to racketeering and securities fraud charges. Milken, […]

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London hedge funds’ websites cloned as scammers grow bolder and more ubiquitous – Reuters

By Securities Docket on February 18, 2020, 9:18 am

Some of London’s top hedge funds and asset managers are among those that have been targeted by rogue internet operators who clone their names and websites in an attempt to part unsuspecting investors from their cash. via London hedge funds’ websites cloned as scammers grow bolder and more ubiquitous – Reuters.

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David Ruder, SEC chair during 1987 crash, dies at 90 – BNN Bloomberg

By Securities Docket on February 18, 2020, 8:50 am

David Ruder, a former chairman of the U.S. Securities and Exchange Commission whose off-the-cuff comments may have fanned panic selling on what became known as Black Monday, has died. He was 90. He died on Feb. 15, according to Northwestern University, where he served as dean of the law school from 1977 to 1985. No […]

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Tesla Faces a New S.E.C. Investigation – The New York Times

By Securities Docket on February 14, 2020, 9:05 am

Tesla received a subpoena in December from the Securities and Exchange Commission asking the electric-car maker to turn over information about its financial data and contracts, the company said in a filing with the agency on Thursday. In the filing, Tesla also said the S.E.C. had closed a separate investigation into projections and statements the […]

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SEC Announces Nancy Sumption as Senior Advisor to the Chairman for Cybersecurity Policy

By Securities Docket on February 14, 2020, 8:42 am

The Securities and Exchange Commission today announced that Nancy Sumption will serve as Chairman Jay Clayton’s Senior Advisor for Cybersecurity Policy. In this role, Ms. Sumption will coordinate efforts across the agency to address cybersecurity policy, engage with external stakeholders on matters related to cybersecurity, and help enhance the SEC’s mechanisms for assessing and responding […]

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Tesla Fields a Fresh SEC Inquiry After Another Probe Ends

By Securities Docket on February 13, 2020, 2:42 pm

On Dec. 4, the same day the agency closed its second investigation into the electric-car maker in as many years, the SEC sent a subpoena seeking information on a fresh set of matters, Tesla disclosed in a regulatory filing Thursday. The regulator is looking into “certain financial data and contracts including Tesla’s regular financing arrangements,” […]

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Royal Bank of Scotland whistleblower sues U.S. agencies in bounty battle – Reuters

By Securities Docket on February 12, 2020, 1:38 pm

An ex-Royal Bank of Scotland (RBS) (RBS.L) employee is suing the U.S. Justice Department and Securities and Exchange Commission (SEC) for records that could relate to a bounty he says he is owed under a post-crisis whistleblower program. Victor Hong alleges the U.S. agencies “capriciously” and “in bad faith” flouted the law when assessing whether […]

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Qatar bans cryptocurrencies after updating its AML laws | The FCPA Blog

By Securities Docket on February 12, 2020, 10:14 am

Following Qatar’s AML regulatory updates, the Qatar Financial Center Regulatory Authority (QFCRA) via twitter announced that all services involving cryptocurrencies have been banned throughout the Qatar Financial Center until further notice. The QFCRA — with 500 firms and $20 billion in combined total assets under management– operates its own legal, regulatory and tax infrastructure. via […]

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Simmons expands disputes offering with senior hire from SFO

By Securities Docket on February 12, 2020, 9:39 am

International law firm Simmons & Simmons (“Simmons”) is delighted to announce today that Camilla de Silva is to join the firm as a partner in its dispute resolution practice in London. Camilla will join the global crime group on 4th May 2020. Camilla joins the firm from the Serious Fraud Office where she is Co-Head […]

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Former SEC Trial Lawyer Haima Marlier Joins Morrison & Foerster as a Partner in New York | Morrison & Foerster

By Securities Docket on February 12, 2020, 8:52 am

Morrison & Foerster, a leading global law firm, is pleased to announce that Haima Marlier has joined the firm in its New York office as a partner in its Securities Litigation, Securities Enforcement, and Investigations + White-Collar Defense Groups. Ms. Marlier joins Morrison & Foerster from the Enforcement Division of the New York office of […]

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