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.

Full Story »

Posted in , , | Tagged , ,

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.

Full Story »

Posted in , , | Tagged ,

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.

Full Story »

Posted in , | Tagged ,

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 , , ,

Previous Pause Next

Investing in a Coding-School Graduate Could Get You 13% a Year – Bloomberg

By Securities Docket on February 25, 2020, 9:35 am

For investors starved of yield, it was an appealing proposition: a potential 13% return. You just had to be willing to take a flier on the future earnings of 1,000 coders. That was the payout being targeted late last year for a swath of income-sharing agreements tied to students and recent graduates of coding academy […]

Posted in , | Tagged

SEC Awards Booz Allen $113M New Cybersecurity Contract | Business Wire

By Securities Docket on February 24, 2020, 9:33 am

On December 12, 2019, the Securities and Exchange Commission (SEC) awarded Booz Allen Hamilton (NYSE: BAH) an extensive 10-year contract, totaling $113 million, to deliver modernized cyber defense operations support. With this new contract, Booz Allen will become the SEC’s major provider of cybersecurity services. Booz Allen was selected for its clear understanding of the […]

Posted in , | Tagged

Alston & Bird Welcomes Former Federal Prosecutor Joey Burby as Litigation Partner in Atlanta | News & Insights | Alston & Bird

By Securities Docket on February 24, 2020, 9:32 am

Alston & Bird has expanded its white-collar defense and corporate investigations capabilities with the addition of former federal prosecutor Joseph Burby, who rejoins the firm as partner in Atlanta. He arrives from Bryan Cave Leighton Paisner LLP, where he was a partner for 13 years. via Alston & Bird Welcomes Former Federal Prosecutor Joey Burby […]

Posted in , | Tagged

Legal Department Leak Leads to Insider Trading Charges Against AIG Employee | Corporate Counsel

By Securities Docket on February 21, 2020, 9:11 am

Insider trading charges against a former legal department worker at an American International Group Inc. subsidiary shows how careful in-house law departments must be in guarding their confidential information. The U.S. Securities and Exchange Commission on Thursday said it reached a consent agreement with Jon Aronson, a former senior administrative assistant in the subsidiary’s legal […]

Posted in , | Tagged

Morgan Stanley confirms to acquire ETrade in $13 billion all-stock deal – MarketWatch

By Securities Docket on February 20, 2020, 11:39 am

Morgan Stanley MS, -3.32% confirmed Thursday that is acquiring E*Trade Financial Corp. ETFC, +25.06% in an all-stock deal valued at $13 billion. Morgan Stanley will pay 1.0432 of its shares for each E*Trade share, equal to $58.74 based on its closing price Feb. 19. The deal “will significantly increase the scale and breadth of Morgan […]

Posted in , | Tagged

Whistleblowers Finding System Stacked Against Them – Government Accountability Project

By Securities Docket on February 20, 2020, 10:09 am

Hong, a former managing director for an RBS subsidiary, reported wrongdoing at RBS to the Securities and Exchange Commission (SEC) in 2014. He says he provided thousands of documents and internal RBS emails to investigators as part of his testimony. Hong says the SEC handed his evidence off to other agencies—the DOJ and the Federal […]

Posted in , | Tagged

SEC Charges Global Alcohol Producer with Disclosure Failures

By Securities Docket on February 19, 2020, 11:03 am

According to the SEC’s order, employees at Diageo North America (DNA), Diageo’s largest and most profitable subsidiary, pressured distributors to buy products in excess of demand in order to meet internal sales targets in the face of declining market conditions. The resulting increase in shipments enabled Diageo to meet performance targets and to report higher growth […]

Posted in , | Tagged

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

By Securities Docket on February 19, 2020, 9:28 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 […]

Posted in , | Tagged

ISS Releases 2019 Top 100 Securities Class Action Lawsuit Settlements List | The D&O Diary

By Securities Docket on February 19, 2020, 8:59 am

As was the case for the last two reporting years, there were relatively few larger securities class action lawsuit settlements during 2019 compared to prior years. As reported in latest large securities class action lawsuit settlement report from ISS Securities Class Action Services (ISS), there were only two settlements finalized in 2019 large enough to […]

Posted in , | Tagged ,

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, […]

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