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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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.

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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.

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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.

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SEC Injunctions: A New Standard? | Dorsey & Whitney LLP – JDSupra

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

Since at least the 2017 decision in Kokesh v. SEC,  137 S.Ct. 1635, there have been questions about Commission remedies.  There the High Court held that disgorgement in agency enforcement actions was subject to Section 2462 of Title 28 since it was a “penalty” within the meaning of the statute.  The Court also reserved the […]

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Agency eyes big revamp of Wall Street whistleblower program | Boston.com

By Securities Docket on October 16, 2019, 2:43 pm

The proposal would give the SEC discretion to set the smallest and largest cash awards to whistleblowers, among other changes. Critics say that change would likely discourage employees from reporting major frauds by lowering the chances of a huge payout. The payment for successful cases is now 10% to 30% of fines or restitution collected […]

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Robert Burson, Associate Regional Director of Chicago Office, to Retire From the SEC After 29 Years of Service

By Securities Docket on October 15, 2019, 12:38 pm

The Securities and Exchange Commission today announced that Robert Burson, an Associate Regional Director of Enforcement in the Chicago Regional Office, is retiring after 29 years at the agency, all in the Chicago office. via SEC.gov | Robert Burson, Associate Regional Director of Chicago Office, to Retire From the SEC After 29 Years of Service.

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John W. R. Murray Joins Foley Hoag as Partner | Foley Hoag

By Securities Docket on October 15, 2019, 12:24 pm

Former U.S. Securities and Exchange Commission (SEC) senior counsel John W.R. Murray has joined Foley Hoag LLP as partner, resident in the New York office. He will be a member of the firm’s Securities Litigation and White Collar/Government Investigations practices. via John W. R. Murray Joins Foley Hoag as Partner | Foley Hoag.

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SEC Appoints Rebekah Goshorn Jurata to PCAOB; Announces Commissioner Hester Peirce to Lead Commission’s Coordination Efforts With PCAOB

By Securities Docket on October 15, 2019, 9:02 am

The Securities and Exchange Commission today announced the appointment of Rebekah Goshorn Jurata as a Board member of the Public Company Accounting Oversight Board (PCAOB) for a term ending October 24, 2024. via SEC.gov | SEC Appoints Rebekah Goshorn Jurata to PCAOB; Announces Commissioner Hester Peirce to Lead Commission’s Coordination Efforts With PCAOB.

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SEC Halts Alleged $1.7 Billion Unregistered Digital Token Offering

By Securities Docket on October 14, 2019, 10:49 am

According to the SEC’s complaint, Telegram Group Inc. and its wholly-owned subsidiary TON Issuer Inc. began raising capital in January 2018 to finance the companies’ business, including the development of their own blockchain, the “Telegram Open Network” or “TON Blockchain,” as well as the mobile messaging application Telegram Messenger. Defendants sold approximately 2.9 billion digital […]

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PCAOB Board Member Kathleen Hamm to Complete Term

By Securities Docket on October 11, 2019, 4:06 pm

The Securities and Exchange Commission today announced that Kathleen M. Hamm will leave the Public Company Accounting Oversight Board (PCAOB) after completing her term as a Board member. Ms. Hamm’s term began in January 2018 and expires later this month. via SEC.gov | PCAOB Board Member Kathleen Hamm to Complete Term.

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SEC Names Katharine E. Zoladz as Associate Regional Director in Los Angeles Office

By Securities Docket on October 8, 2019, 1:39 pm

The Securities and Exchange Commission today announced that Katharine E. Zoladz has been named Associate Regional Director for enforcement in the Los Angeles Regional Office. Ms. Zoladz succeeds John Berry, who left the agency in July 2019. Ms. Zoladz will now oversee the Los Angeles office’s enforcement efforts in Southern California, Arizona, Hawaii, and Nevada, along […]

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U.S. Supreme Court rejects insider trading appeal by Las Vegas gambler – Reuters

By Securities Docket on October 7, 2019, 4:04 pm

The U.S. Supreme Court on Monday refused to hear Las Vegas sports gambler William “Billy” Walters’ appeal of his 2017 insider trading conviction that landed him a five-year prison sentence in a case that also drew attention because of his ties to billionaire investor Carl Icahn and golfer Phil Mickelson. Walters had asked the justices […]

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In Theranos Civil Case, Cooley Says Elizabeth Holmes Has Growing Unpaid Legal Bill | The Recorder

By Securities Docket on October 7, 2019, 10:47 am

Cooley chairman Stephen Neal, Palo Alto partner-in-charge John Dwyer and associate Jeffrey Lombard filed the motion on Sept. 30 in U.S. District Court in Phoenix, claiming that “Ms. Holmes has not paid Cooley for any of its work as her counsel of record in this action for more than a year. “Further, given Ms. Holmes’s […]

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