Securities Docket News Wire for March 5, 2014

Securities Docket News Wire for March 5, 2014

By Securities Docket on March 6, 2014, 8:55 am

Get caught up with the Securities Docket News Wire for March 5, 2014.

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Register Now to Attend the West Coast SEC Directors Roundtable! — May 8, 2014 in San Francisco

Register Now to Attend the West Coast SEC Directors Roundtable! — May 8, 2014 in San Francisco

By Securities Docket on March 4, 2014, 7:44 am

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

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Early-Bird Registration Now Open for Securities Enforcement Forum 2014 — Oct. 14, 2014 in Washington, D.C.

Early-Bird Registration Now Open for Securities Enforcement Forum 2014 — Oct. 14, 2014 in Washington, D.C.

By Securities Docket on February 28, 2014, 12:00 pm

U.S. Attorney Preet Bharara and SEC Commissioner Michael Pivovar to deliver Keynotes at SEF 2014!

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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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Mar. 11 Webcast: Insider Trading Enforcement Update

Mar. 11 Webcast: Insider Trading Enforcement Update

By Securities Docket on January 31, 2014, 11:09 am

Please join Carl (Chip) H. Loewenson, Jr. and Allen D. Applbaum for this free webcast.

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OSC to accept ‘no-contest’ settlement agreements — CBC News

By Securities Docket on March 12, 2014, 7:51 am

The Ontario Securities Commission has decided to let some individuals and companies settle misconduct disputes with the regulator without formally having to admit to any wrongdoing. via OSC to accept ‘no-contest’ settlement agreements — CBC News.

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SEC Launches Enforcement Cooperation Initiative for Municipal Issuers and Underwriters — SEC Press Release

By Securities Docket on March 10, 2014, 12:26 pm

The Securities and Exchange Commission today announced a new cooperation initiative out of its Enforcement Division to encourage issuers and underwriters of municipal securities to self-report certain violations of the federal securities laws rather than wait for their violations to be detected. via SEC Launches Enforcement Cooperation Initiative for Municipal Issuers and Underwriters  – SEC [...]

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Carmen Lawrence Joins King & Spalding in New York

Carmen Lawrence Joins King & Spalding in New York

By Securities Docket on March 7, 2014, 1:50 pm

SEC enforcement lawyer Carmen Lawrence joins King & Spalding.

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SEC Sues Five From Dewey & LeBoeuf for Allegedly Fraudulent Bond Offering – Compliance Week

By Securities Docket on March 7, 2014, 12:24 pm

On top of criminal charges brought by the Manhattan D.A. yesterday, the SEC announced its own case against five defendants from collapsed law firm Dewey & LeBoeuf LLP. The SEC alleged that the defendants resorted to a “grab bag of accounting gimmicks” to artificially inflate the firm’s income and distort financial performance in advance of [...]

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SEC scores partial win in insider trading case over 2009 Sanofi deal — Reuters

By Securities Docket on March 7, 2014, 8:03 am

A jury in the U.S. district court in Cleveland, Ohio, found that Andrew Jacobs and Leslie Jacobs committed insider trading in the context of a tender offer, the U.S. Securities and Exchange Commission announced in a statement. At the same time, the jury also found that the brothers were not liable under a broader insider [...]

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President Requests SEC Budget of $1.7B for FY 2015, But Will Congress Go Along? – Compliance Week

By Securities Docket on March 5, 2014, 11:15 am

Yesterday, President Barack Obama proposed a fiscal year 2015 budget of $1.7 billion for the Securities and Exchange Commission–a 26% increase over the agency’s FY 2014 budget. The fact that the president is seeking $1.7 billion for the SEC is hardly the end of the agency’s budget story for FY 2015, however. via President Requests [...]

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Court weighs securities fraud class-action cases today — AP

By Securities Docket on March 5, 2014, 7:58 am

The Supreme Court is considering whether to abandon a quarter-century of precedent and make it tougher for investors to band together to sue corporations for securities fraud. The justices hear arguments Wednesday in an appeal by Halliburton that seeks to block a class-action lawsuit claiming the energy services company inflated its stock price. via Court [...]

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The SEC Speaks in 2014: Beware the Data Crunchers — King & Spalding

By Securities Docket on March 3, 2014, 9:13 am

Even more notable to securities practitioners than the attendance of Mark Cuban at this year’s SEC Speaks event (held in Washington, D.C. on February 21-22, 2014) was the start-to-finish focus of the Enforcement Division on data, data, data. Beginning with Chair Mary Jo White’s kick-off address, and extending throughout the two-day event, the Commission and [...]

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Details on the Case Underlying the SEC’s $14 Million Whistleblower Award – Compliance Week

By Securities Docket on February 27, 2014, 2:44 pm

Details on the most significant whistleblower award issued to date by the SEC’s Office of the Whistleblower finally emerged today. The $14 million award, which was issued on September 30, 2013, is reportedly the result of a case filed in February 2013 that returned over $147 million to investors. via Details on the Case Underlying [...]

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Securities Class Action: Will It Become Endangered Species? – WSJ.com

By Securities Docket on February 27, 2014, 12:29 pm

The Supreme Court is taking up the contested legal theory that underpins most big securities class-action lawsuits in a case that could reshape the balance of power between companies and the lawyers who sue them. via Securities Class Action: Will It Become Endangered Species? – WSJ.com

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