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.

Full Story »

Posted in , | Tagged , , ,

Mar. 1 Webcast: SEC Enforcement — Current Developments and What’s Ahead for 2019

Mar. 1 Webcast: SEC Enforcement — Current Developments and What’s Ahead for 2019

By Securities Docket on February 13, 2019, 11:17 am

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

Full Story »

Posted in , , | Tagged , , ,

Feb. 21 Webcast — The Securities Class Action Landscape: A Look Back at 2018 and What’s Ahead in 2019

Feb. 21 Webcast — The Securities Class Action Landscape: A Look Back at 2018 and What’s Ahead in 2019

By Securities Docket on January 29, 2019, 4:14 pm

Please join Jeff Lubitz and Stefan Boettrich for this free webcast.

Full Story »

Posted in , | Tagged , ,

Securities Docket Announces ‘Enforcement 40′ for 2017

Securities Docket Announces ‘Enforcement 40′ for 2017

By Securities Docket on October 30, 2017, 7:46 am

Securities Docket announces its “Enforcement 40”— our list of the 40 best and brightest securities enforcement defense lawyers.

Full Story »

Posted in , , | Tagged

Previous Pause Next

Hertz sues former executives to recoup millions tied to accounting scandal

By Securities Docket on July 17, 2019, 9:49 am

In a rare legal move, Hertz seeks to collect millions from its former senior executives, blaming them for an accounting scandal that rocked the company five years ago. The Estero-based car rental giant and its parent company have filed companion lawsuits, pointing their collective finger at four executives. via Hertz sues former executives to recoup millions tied […]

Posted in , , | Tagged

Cryptocurrencies Pose National Security Threat, Mnuchin Says – The New York Times

By Securities Docket on July 16, 2019, 9:21 am

Treasury Secretary Steven Mnuchin said on Monday that he had “very serious concerns” about cryptocurrencies, including the one being developed by Facebook, the latest indication that Washington is preparing to exert its power over digital currencies. In a briefing at the White House, Mr. Mnuchin said cryptocurrencies posed a national security threat because they can […]

Posted in , | Tagged ,

Murphy & McGonigle Adds to Stable of Former SEC Lawyers with Appointment of Thomas A. Ferrigno

By Securities Docket on July 16, 2019, 9:18 am

Murphy & McGonigle, the financial services and regulatory law firm, announced today that Thomas A. Ferrigno, a former Chief Counsel in the Securities and Exchange Commission’s Division of Enforcement, has joined the firm as a Shareholder. via Murphy & McGonigle Adds to Stable of Former SEC Lawyers with Appointment of Thomas A. Ferrigno.

Posted in , , | Tagged ,

Ex-Big Law Attorneys Stock Trump White House Counsel’s Office | National Law Journal

By Securities Docket on July 15, 2019, 8:17 am

White House counsel Pat Cipollone, who succeeded Donald McGahn as the president’s top in-house lawyer, said a few months ago he planned to beef up the counsel’s team with more than a dozen new attorneys. The Trump White House counsel has played a central role in the administration’s attempts to shield current and former officials […]

Posted in , | Tagged ,

Why Corporate America Needs a Strong D&O Insurance Market | The D&O Diary

By Securities Docket on July 12, 2019, 8:47 am

It does not take a psychic to understand the title of this article.  But maybe it takes one more phrase to make the title complete: “because of the increase in securities litigation, the increase in enforcement activity by the SEC, Cybersecurity issues (and their regulatory issues) and the general uncertainties of the political environment in […]

Posted in , | Tagged

Crypto Standards Group Taps Legal Team to Reassure Lawmakers

By Securities Docket on July 12, 2019, 8:39 am

Prominent U.S. virtual currency exchanges are bringing in legal heavyweights from the worlds of traditional finance and blockchain to help develop a self-regulatory organization. Alma Angotti, a former senior official at the SEC and Treasury’s Financial Crimes Enforcement Network, as well as Dana Syracuse, a former New York Department of Financial Services general counsel, are […]

Posted in , | Tagged

3 traders jailed after making more than S$8 million from insider trading – CNA

By Securities Docket on July 11, 2019, 9:05 am

Three men were jailed on Wednesday (Jul 10) after making more than S$8 million from insider trading over seven years, the Monetary Authority of Singapore (MAS) said in a media release. Leong Chee Wai, E Seck Peng Simon and Toh Chew Leong carried out a front-running arrangement over a period of seven years, the court was […]

Posted in , | Tagged ,

How hedge funds use drones, satellite images and web scraping to gain an edge – CNN

By Securities Docket on July 11, 2019, 8:57 am

Last summer, a large hedge fund had a hunch: Lumber prices were about to crash because of excess inventories caused by a railway strike. Before placing a massive short bet that lumber company share prices would fall, executives at the hedge fund confirmed the theory by hiring a drone to fly over lumberyards, people familiar […]

Posted in , | Tagged

ASIC beneficiary of data retention regime – InvestorDaily

By Securities Docket on July 11, 2019, 8:56 am

In a submission to the parliamentary inquiry into the data retention regime, ASIC revealed it had used the laws 4,982 times to investigate white-collar crimes. The data retention laws require companies to retain phone and internet records for all Australians to assist law enforcement authorities like ASIC. As part of the legislation, agencies must report […]

Posted in , | Tagged , ,

SEC Charges Accountant and Friend in $6.2 Million Insider Trading Scheme

By Securities Docket on July 10, 2019, 3:48 pm

The SEC’s complaint, filed in federal court in Manhattan, alleges that Martha Patricia Bustos, formerly an accountant at Illumina Inc. and a certified public accountant, and her close friend Donald Blakstad engaged in a scheme to trade in advance of Illumina’s release of confidential revenue information.  In exchange for extravagant gifts, Bustos allegedly tipped Blakstad […]

Posted in , | Tagged

‘Enforcement 40′ for 2017

ENf 40 230 column
Ankura 260x250

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives