Seeking Nominations for Securities Docket’s ‘Enforcement 40′ for 2020

Seeking Nominations for Securities Docket’s ‘Enforcement 40′ for 2020

By Securities Docket on September 9, 2020, 10:21 am

Securities Docket welcomes your nominations for our ‘Enforcement 40′ for 2020 — the 40 best and brightest securities enforcement defense professionals in the industry.

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Exclusive: U.S. regulator to abandon proposed whistleblower caps, tighter tip deadlines – sources | Reuters

By Securities Docket on September 22, 2020, 10:39 am

The U.S. securities regulator is poised to walk back a proposal to impose discretionary caps on whistleblower awards and tighten deadlines for formally filing tips when it votes to overhaul the bounty program this week, five people briefed on the matter told Reuters. via Exclusive: U.S. regulator to abandon proposed whistleblower caps, tighter tip deadlines […]

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SEC Charges Index Manager and Friend With Insider Trading

By Securities Docket on September 21, 2020, 4:05 pm

The Securities and Exchange Commission today charged Yinghang “James” Yang, a senior index manager at a globally recognized index provider, and his friend Yuanbiao Chen, a manager at a sushi restaurant, with perpetrating an insider-trading scheme that generated more than $900,000 in illegal profits. The SEC’s complaint alleges that between June and October of 2019, […]

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Protecting Everyday Investors and Preserving Market Integrity: The SEC’s Division of Enforcement

By Securities Docket on September 18, 2020, 1:04 pm

But most impressive is how the staff continued to protect the securities markets from kitchens and living rooms while at the same time being caregivers and teachers and juggling video calls with all manner of chaos in the background. These are unprecedented circumstances and the staff acted in unprecedented ways to respond to all of […]

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Investor-Focused, Nimble and Vigorous Enforcement at the SEC

By Securities Docket on September 18, 2020, 9:17 am

Third, a thank you to Stephanie Avakian, who you will hear from in a few moments.[1] Stephanie was the Acting Director of Enforcement when I arrived. I had not previously met her. Many people expressed interest in the Director position. Well, to make a long story short, it was quickly apparent to me that Steve […]

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San Francisco US Attorney Names No. 2, Launches Securities Fraud Section | The Recorder

By Securities Docket on September 18, 2020, 8:07 am

The U.S. Attorney’s Office for the Northern District of California has appointed a second in command and launched a new section to expedite the prosecution of white-collar cases. The changes come about a year and a half after U.S. Attorney David Anderson created a corporate fraud strike force with a similar goal to speed up […]

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Private Equity and Cybersecurity: A Guide to Preparing for and Responding to a Breach | Proskauer – The Capital Commitment – JDSupra

By Securities Docket on September 17, 2020, 11:27 am

A cyber breach can have serious legal, financial, and reputational consequences for a fund sponsor, as described in our previous post. As such, cybersecurity threats must be treated as business risks, not just a potential IT problem. Senior management at fund sponsors should take the lead to ensure that the sponsor is taking appropriate actions […]

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WilmerHale Recruits Prominent Securities Lawyers Susan Muck and Kevin Muck to Its San Francisco Office | WilmerHale

By Securities Docket on September 17, 2020, 11:25 am

WilmerHale is pleased to announce that Susan and Kevin Muck, highly respected and accomplished litigators, have joined the firm as partners in its Securities Litigation and Enforcement Practice. Based in San Francisco, they will enhance the law firm’s presence in Northern California and amplify the many strengths shared between their practices and WilmerHale’s preeminent Securities Department. […]

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How a Prior DOJ Settlement Doomed a SEC Enforcement Action: A Volkswagen Case Study | Mintz

By Securities Docket on September 16, 2020, 8:43 am

It is not uncommon for various government agencies and offices to investigate the same company, particularly following a major scandal. We have grown accustomed to seeing simultaneous investigations by the U.S. Department of Justice (“DOJ”) and the U.S. Securities Exchange Commission (“SEC”), sometimes followed by indictments and complaints from both. When the SEC and DOJ […]

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First Half 2019 Securities Suits Against Foreign Issuers Outpaced Overall Filing Levels | The D&O Diary

By Securities Docket on September 14, 2020, 11:42 am

The AIG report is based on data from Cornerstone Research. The report shows that during the year’s first six months, there were 35 core filings (that is, securities class action lawsuit filings excluding merger objection lawsuits) against non-U.S. companies with U.S. listings. (This filings tally does not include the several securities class action lawsuits that […]

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SEC Awards More Than $10 Million to Whistleblower

By Securities Docket on September 14, 2020, 11:22 am

The Securities and Exchange Commission today announced an award of more than $10 million to a whistleblower whose information and assistance were of crucial importance to a successful SEC enforcement action. “This award recognizes the persistent efforts of the whistleblower to expose serious financial misconduct,” said Jane Norberg, Chief of the SEC’s Office of the Whistleblower. […]

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