May 1 Webcast: Cybersecurity and Financial Firms — Bracing for the Regulatory Onslaught

May 1 Webcast: Cybersecurity and Financial Firms — Bracing for the Regulatory Onslaught

By Securities Docket on April 18, 2014, 6:11 pm

Please join John Stark and Bradley Bondi for this free webcast.

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Just 20 Days Until the West Coast SEC Directors Roundtable — Register Now!

Just 20 Days Until the West Coast SEC Directors Roundtable — Register Now!

By Securities Docket on April 18, 2014, 8:50 am

Please join us May 8, 2014 in San Francisco for the West Coast SEC Directors Roundtable!

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Introducing Cybersecurity Docket!

Introducing Cybersecurity Docket!

By Securities Docket on April 9, 2014, 8:41 am

Please visit our new sister publication, Cybersecurity Docket!

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Securities Docket Announces Inaugural ‘Enforcement 40’

Securities Docket Announces Inaugural ‘Enforcement 40’

By Securities Docket on October 10, 2013, 3:15 pm

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

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Photos and Highlights from Securities Enforcement Forum 2013

Photos and Highlights from Securities Enforcement Forum 2013

By Securities Docket on October 30, 2013, 6:16 pm

If you missed Securities Enforcement Forum 2013 this year, well, you missed a lot! Check out the photos here.

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5 Great Reasons to Attend Securities Enforcement Forum 2014 (Oct. 14, 2014 in D.C.)

5 Great Reasons to Attend Securities Enforcement Forum 2014 (Oct. 14, 2014 in D.C.)

By Securities Docket on March 14, 2014, 4:24 pm

Five great reasons to attend Securities Enforcement Forum 2014!

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Former KPMG Partner Scott London Sentenced to 14 Months in Prison – Compliance Week

By Securities Docket on April 24, 2014, 4:38 pm

“Embarrassed and ashamed” former KPMG partner sentenced to 14 months in federal prison and ordered to pay a $100,000 fine for role in insider trading scheme. via Former KPMG Partner Scott London Sentenced to 14 Months in Prison – Compliance Week

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Tim Belevetz Joins Holland & Knight in Washington, D.C.

Tim Belevetz Joins Holland & Knight in Washington, D.C.

By Securities Docket on April 24, 2014, 8:25 am

Tim Belevetz joins Holland & Knight from U.S. Attorney’s Office for the EDVA.

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These ‘Greedy Wall Streeters’ Just Don’t Seem Guilty – Bloomberg View

By Securities Docket on April 24, 2014, 8:05 am

Todd Newman and Anthony Chiasson’s appeals of their insider trading convictions hinge on a fairly nit-picky legal point about jury instructions, although an important one that has an appeals court pretty riled up.1 But I don’t really think that the appeal has gotten so much attention, or gotten judges so riled up, or raised concerns [...]

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Bipartisan group slams U.S. SEC for resisting email privacy reform — Reuters HedgeWorld

By Securities Docket on April 24, 2014, 7:53 am

In a statement Wednesday, SEC Enforcement Director Andrew Ceresney said the legislation in its current form is not workable. “Civil law enforcement agencies like the SEC aren’t able to obtain the search warrants that the proposed legislation would require,” he said. “Preserving access to evidence through (Internet service providers) for the SEC and other civil [...]

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SEC Alleges Misrepresentations, Whopping Embellishments by Stock Promoter – Compliance Week

By Securities Docket on April 23, 2014, 3:54 pm

While the SEC’s fraud case against Robert J. Vitale is probably the least of his worries right now, it still memorializes some pretty outrageous alleged misrepresentations made by Vitale to investors. via SEC Alleges Misrepresentations, Whopping Embellishments by Stock Promoter – Compliance Week

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Joseph Boryshansky Joins Akin Gump in New York

Joseph Boryshansky Joins Akin Gump in New York

By Securities Docket on April 23, 2014, 8:50 am

Joseph Boryshansky rejoins Akin Gump from SEC.

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Advisen Releases First Quarter 2014 Corporate and Securities Litigation Report — The D&O Diary

By Securities Docket on April 23, 2014, 8:38 am

Overall Filings of corporate and securities lawsuits during the first quarter of 2014 were at their lowest levels since before the financial crisis, according to the latest report from Advisen, the insurance information firm…. via Advisen Releases First Quarter 2014 Corporate and Securities Litigation Report — The D&O Diary

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SECFAIL? Not This Time, as Toby Scammell Pleads Guilty to Insider Trading – Compliance Week

By Securities Docket on April 22, 2014, 12:02 pm

The unusual Toby Scammell insider trading saga ended yesterday when Scammell finally pleaded guilty to securities fraud that involved him making $192,000 by trading on inside information. via SECFAIL? Not This Time, as Toby Scammell Pleads Guilty to Insider Trading – Compliance Week

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Institutional investors step off sidelines to sue BP for fraud — Alison Frankel, On the Case

By Securities Docket on April 22, 2014, 8:46 am

A spate of U.S. pension funds, including Bank of America’s private pension plan and funds for public workers in Maryland, Louisiana and Texas, filed suits Friday accusing BP of defrauding investors in its statements about the Deepwater Horizon oil spill in April 2010. Piling on just ahead of the statute of limitations, several foreign institutions, [...]

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Prosecutors’ Long Winning Streak on Insider Trading Could Soon Be Over – Businessweek

By Securities Docket on April 21, 2014, 10:51 am

The U.S. Court of Appeals for the Second Circuit will hear arguments in a case that is being closely watched—and fretted over—by investigators involved in the government’s historic string of insider trading prosecutions. Two convicted hedge fund portfolio managers are arguing that what the government accused them of doing isn’t actually illegal, and the appeals [...]

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