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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How Collins avoided a hefty fine: The crooked congressman must pay for his financial crime – New York Daily News

By Securities Docket on January 17, 2020, 12:37 pm

Why isn’t the SEC requiring Collins and the two tippees to pay civil penalties? Why isn’t Collins jointly and severally liable with the tippees for disgorgement and pre-judgment interest? Why isn’t the DOJ seeking any money? The SEC has a long history of going hard after high-visibility insider traders, such as Martha Stewart, to deter […]

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SEC’s top Democrat issues warning ahead of departure next month | Financial Times

By Securities Docket on January 17, 2020, 8:47 am

The senior Democratic member of the US Securities and Exchange Commission has warned that shareholders’ ability to influence corporate boardroom decisions is under threat in comments ahead of his departure next month. Robert Jackson, whose exit has been expected after his term officially ended in June last year, told the Financial Times that updates to […]

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Intel: Warren threatens Trump with insider trading probe over Soleimani strike

By Securities Docket on January 17, 2020, 8:45 am

Sens. Elizabeth Warren, D-Mass., and Chris Van Hollen, D-Md., urged an insider trading investigation into President Donald Trump for reportedly telling Mar-a-Lago guests about the Soleimani strike in advance, according to a joint letter sent to the chairmen of the Securities and Exchange Commission and the Commodity Futures Trading Commission on Monday. The request comes after a report […]

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Assistant US Attorney Ashwin J. Ram Joins Steptoe’s White-Collar Practice in Los Angeles | Steptoe & Johnson LLP

By Securities Docket on January 17, 2020, 8:42 am

Steptoe & Johnson LLP is pleased to announce that Ashwin J. Ram, an assistant US attorney in the major frauds section of the US Attorney’s Office in Los Angeles, has joined the firm’s White-Collar Criminal Defense practice as a partner. Ashwin will reside in Steptoe’s Los Angeles office, where his practice will also include civil […]

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Austin Gerig Named as SEC’s Chief Data Officer

By Securities Docket on January 17, 2020, 8:41 am

The Securities and Exchange Commission today announced that it has named Austin Gerig as its Chief Data Officer. Dr. Gerig, currently Assistant Director of the Office of Data Science in the Division of Economic and Risk Analysis (DERA), will assume his new position on Feb. 3. The Chief Data Officer will help develop the SEC’s […]

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Trump Tried to Kill Anti-Bribery Rule He Deemed ‘Unfair,’ New Book Alleges – The New York Times

By Securities Docket on January 16, 2020, 1:04 pm

President Trump wanted to strike down a law that prohibits companies from bribing foreign officials, calling the ban “so unfair” to American companies, two Washington Post reporters recount in a new book. In the spring of 2017, Mr. Trump was at a briefing with Rex W. Tillerson, then the secretary of state, and aides in […]

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2019 Year-End Securities Enforcement Update

By Securities Docket on January 16, 2020, 12:58 pm

This year, the SEC’s review of the performance of the Enforcement Division has de-emphasized the statistics and focused more on qualitative measures of its performance. As Chairman Clayton noted in his December testimony to the Senate Banking Committee, “purely quantitative measures alone cannot adequately measure the effectiveness of Enforcement’s work, which can be evaluated better […]

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Former DOJ Prosecutor Kyle R. Freeny Joins Greenberg Traurig | News | Greenberg Traurig LLP

By Securities Docket on January 16, 2020, 12:57 pm

Global law firm Greenberg Traurig, LLP is the next stop in the distinguished career of Kyle R. Freeny, former federal prosecutor for the Special Counsel’s Office and former member of the United States Department of Justice’s (DOJ) Criminal Division’s Money Laundering and Asset Recovery Section. via Former DOJ Prosecutor Kyle R. Freeny Joins Greenberg Traurig […]

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SEC Commissioner Jackson Resigns to Return to Law School Teaching Position – WSJ

By Securities Docket on January 16, 2020, 12:55 pm

One of the two Democratic members of the Securities and Exchange Commission plans to step down next month, leaving Republicans with stronger control of the agency at a time when conservatives are pushing to ease financial regulation broadly. SEC commissioner Robert Jackson Jr., 42 years old, said Thursday he plans to leave office on Feb. […]

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SEC Democratic Commissioner Jackson to step down next month – Reuters

By Securities Docket on January 16, 2020, 10:43 am

Rob Jackson, a Democratic Commissioner at the U.S. Securities and Exchange Commission, said on Thursday he will step down on Feb. 14 to continue teaching at New York University School of Law, where he is currently on faculty leave. The departure of Jackson, an independent who was picked by Democrats to fill an open Democratic […]

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