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

Allison Lee Is Said to Be Pick for SEC’s Vacant Democratic Seat – Bloomberg

By Securities Docket on March 21, 2019, 7:57 am

President Donald Trump is preparing to name Allison Lee in the coming weeks to fill the open Democratic seat on the U.S. Securities and Exchange Commission, according to people familiar with the matter. The selection of Lee to replace Kara Stein, who left the SEC in January after her term ended, would bring the five-member […]

Posted in , | Tagged

Senior SEC Enforcement Lawyer Charles D. Riely Joins Jenner & Block in New York

By Securities Docket on March 20, 2019, 2:16 pm

Jenner & Block announced today that Charles D. Riely, a former assistant regional director of the US Securities and Exchange Commission’s (SEC) Division of Enforcement, joined the firm as a partner in New York.  He is a member of the firm’s Investigations, Compliance and Defense Practice. via Jenner & Block | Senior SEC Enforcement Lawyer […]

Posted in , , | Tagged

$475M Lawsuit Alleges Danske Bank’s Inaction Created ‘Enormous Scandal’ | Corporate Counsel

By Securities Docket on March 20, 2019, 9:42 am

At the heart of a $475 million lawsuit that investors in 19 countries have brought against Denmark’s largest bank is a lesson for legal departments regarding the importance of compliance and disclosure. “You need to take regulatory compliance very seriously and when you do have problems don’t cover it up. That will only turn it into […]

Posted in , | Tagged

SEC Stunned That Musk Failed to Get Pre-Approval of Tweets – Bloomberg

By Securities Docket on March 19, 2019, 9:19 am

The U.S. Securities and Exchange Commission said it’s “stunning” that Elon Musk didn’t seek pre-approval of any of his tweets about Tesla Inc. in the months since he was ordered by a judge to do so. Musk’s August tweets about taking Tesla private resulted in $40 million in fines, the appointment of two independent board […]

Posted in , | Tagged

Justin C. Jeffries Named Associate Regional Director for Enforcement in Atlanta Office

By Securities Docket on March 19, 2019, 9:01 am

The Securities and Exchange Commission today announced that Justin C. Jeffries has been named the Associate Regional Director for enforcement in the Atlanta Regional Office. Mr. Jeffries succeeds Aaron Lipson, who left the agency in December 2018.  In his new role, Mr. Jeffries will oversee the Atlanta office’s enforcement efforts in Georgia, North Carolina, South […]

Posted in , , | Tagged

Late to the Party, the SEC Unleashes a Dubious Suit Against VW | The Recorder

By Securities Docket on March 18, 2019, 1:59 pm

Sure, there still were some ongoing state-level actions, but all the big stuff was supposedly over, wrapped up in a $14.7 billion deal that covered a class action by VW owners plus claims by the Department of Justice, the EPA, the Federal Trade Commission, the California Air Resources Board and attorneys general of 44 states, […]

Posted in , | Tagged

A Canadian whistleblower program targeting financial crime pays off | Whistleblower Protection Blog

By Securities Docket on March 15, 2019, 7:54 am

Three Canadian whistleblowers have been awarded more than $7 million, the first payment of its kind by the Ontario Securities Commission (OSC). “These individuals voluntarily provided high quality, timely, specific and credible information, which helped advance enforcement actions resulting in monetary payments to the OSC,” according to a statement from the Canadian agency. via A […]

Posted in , | Tagged ,

US SEC sues Volkswagen and ex-CEO over diesel scandal | Business | The Guardian

By Securities Docket on March 15, 2019, 7:53 am

The US Securities and Exchange Commission is suing Volkswagen and its former chief executive, accusing them of defrauding investors by making “deceptive” claims about the environmental impact of its cars. The regulator said that from 2007 until 2015, VW carried out a “massive fraud” when selling securities and half a million cars it described as […]

Posted in , | Tagged

Jason J. Burt Named Associate Regional Director for Enforcement in SEC’s Denver Office

By Securities Docket on March 14, 2019, 3:09 pm

The Securities and Exchange Commission today announced that Jason J. Burt has been named the Associate Regional Director for enforcement in the SEC’s Denver Regional Office. Mr. Burt succeeds Kurt Gottschall, who became Regional Director of the SEC’s Denver office in November 2018. via SEC.gov | Jason J. Burt Named Associate Regional Director for Enforcement in SEC’s […]

Posted in , , | Tagged

Industry Pro Stacie Hartman Joins Steptoe’s Financial Services Practice as Co-Chair | Steptoe & Johnson LLP

By Securities Docket on March 14, 2019, 7:37 am

Steptoe & Johnson LLP is pleased to announce that Stacie Hartman, an accomplished regulatory enforcement lawyer and first-chair litigator, has joined the firm as co-chair of its Financial Services Group. She will reside in the Chicago office and will also maintain a New York office. via Industry Pro Stacie Hartman Joins Steptoe’s Financial Services Practice […]

Posted in , , | Tagged

Criminal

Global

People

SEC

‘Enforcement 40′ for 2017

ENf 40 230 column
Securities-Docket_Medium-Rectangle_CaseStudyArrow

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives