Don’t Miss Out! Register Now for Securities Enforcement Forum 2016

Don’t Miss Out! Register Now for Securities Enforcement Forum 2016

By Securities Docket on September 12, 2016, 5:12 pm

Securities Enforcement Forum 2016 is on October 13, 2016!

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Surviving a Restatement: Ten Pitfalls to Avoid

Surviving a Restatement: Ten Pitfalls to Avoid

By Securities Docket on September 9, 2016, 8:49 am

Please join Brad Bondi and Michael Wheatley of Cahill Gordon & Reindel for this free webcast.

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July 14 Webcast: The Department of Labor’s New Conflict of Interest Regulations–A Game Changer for the Financial Services Industry

July 14 Webcast: The Department of Labor’s New Conflict of Interest Regulations–A Game Changer for the Financial Services Industry

By Securities Docket on June 23, 2016, 3:29 pm

Please join Brad Bondi and Michael Wheatley of Cahill Gordon & Reindel for this free webcast.

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June 30 Webcast: UK Bribery Act Update — Significant Enforcement is Here, Massive Change Coming

June 30 Webcast: UK Bribery Act Update — Significant Enforcement is Here, Massive Change Coming

By Securities Docket on June 9, 2016, 9:29 am

Please join Vivian Robinson QC, Barry Vitou, Richard Kovalevsky QC and Julian Glass for this free webcast.

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Highlights from Securities Enforcement Forum West 2016

Highlights from Securities Enforcement Forum West 2016

By Securities Docket on May 30, 2016, 7:38 pm

Photos and highlights from Securities Enforcement Forum West 2016.

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May 25 Webcast: Using Law and Accounting to Determine Separateness or Piercing of the Corporate Veil

May 25 Webcast: Using Law and Accounting to Determine Separateness or Piercing of the Corporate Veil

By Securities Docket on April 12, 2016, 12:59 pm

Please join panelists Neil Gray, Jeff Litvak, and Clara Chin for this free webcast.

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Photos and Highlights from Securities Enforcement Forum 2015

Photos and Highlights from Securities Enforcement Forum 2015

By Securities Docket on November 11, 2015, 12:23 pm

Photos and highlights from Securities Enforcement Forum 2015.

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Photos and Highlights from Securities Enforcement Forum West 2015

Photos and Highlights from Securities Enforcement Forum West 2015

By Securities Docket on June 2, 2015, 4:56 pm

Photos and highlights from Securities Enforcement Forum West 2015.

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Administrative Proceedings Remain Likely for SEC Enforcement Actions | New York Law Journal

By Securities Docket on September 23, 2016, 9:41 am

Although there is intensifying political effort to rein in the SEC’s use of administrative proceedings, the current judicial climate heavily favors the SEC’s continued use of its choice of forum. In addition to the high “win/loss” ratio the SEC has achieved via administrative proceedings, a recent study out of the University of Michigan Law School […]

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Wal-Mart must face US class action over alleged Mexican bribery – Reuters

By Securities Docket on September 23, 2016, 9:40 am

Wal-Mart Stores Inc must face a class-action lawsuit accusing the world’s largest retailer of defrauding shareholders by concealing suspected bribery to help it expand faster in Mexico, a U.S. judge said. In a decision on Tuesday, U.S. District Judge Susan Hickey in Fayetteville, Arkansas rejected Wal-Mart’s contention that a Michigan pension fund had no standing to […]

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When is insider trading not insider trading? — FT.com

By Securities Docket on September 23, 2016, 9:36 am

Crucially for his fight against the SEC, Mr Cooperman also argues that he never made money from his July 2010 trading. Although Atlas shares leapt to $16.22 when the asset sale was announced, Mr Cooperman and Omega did not sell, and ended up losing money on their investment when they sold out last year. Mr […]

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Poll: When will Fairfax and Peirce be confirmed as SEC commissioners??? | Compliance Week

By Securities Docket on September 22, 2016, 12:17 pm

Does anyone remember that waaaaaaaaaaaay back in October 2015, President Obama nominated Lisa Fairfax and Hester Peirce to be SEC Commissioners? Please take our poll on when these nominees will be confirmed by the U.S. Senate. via Poll: When will Fairfax and Peirce be confirmed as SEC commissioners??? | Compliance Week

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The (non) myth of the 5,300 rogue employees | Compliance Week

By Securities Docket on September 20, 2016, 9:38 am

In an interview for an article in the Wall Street Journal, Wells Fargo CEO John Stumpf explained that it was the fault of the over 5,300 rogue employees who engaged in the fraudulent conduct of opening over 2 million unauthorized accounts, not the bank, not the board, and certainly senior management. We know the number […]

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Why Don’t General Counsels Stop Corporate Crime? — Harvard LS

By Securities Docket on September 19, 2016, 12:33 pm

Evidence shows that in spite of these reforms enacted in SOX and explicit provisions and responsibilities given to corporate attorneys, most of the whistle-blowing in case of corporate fraud comes from employees (17%), non-financial market regulators (13%), and media (13%). Clearly absent from this list are top in-house corporate counsels (GCs). In this paper, we […]

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Wells Fargo sued by customers over fraudulent accounts — CNNMoney

By Securities Docket on September 19, 2016, 9:48 am

The first lawsuit has been filed against Wells Fargo by customers following revelations that the bank collected fees for millions of unauthorized accounts. The proposed class action suit, filed in U.S. District Court in Utah on Friday, accuses the bank of invasion of privacy, fraud, negligence, and breach of contract. The three plaintiffs are asking […]

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BigLaw clerk sentenced to nearly 4 years in jail for insider trading scheme

By Securities Docket on September 19, 2016, 8:50 am

A former law clerk at Simpson Thacher & Bartlett has been sentenced to almost four years in jail for stealing sensitive client information in an insider trading scheme. Steven Metro, formerly managing law clerk at the BigLaw firm in New York, has been given a 46-month jail term by U.S. District Judge Michael Shipp in Trenton, […]

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2016 SEC trial scorecard update: agency now 4-1-1 after City of Miami trial | Compliance Week

By Securities Docket on September 16, 2016, 1:26 pm

This week, following a two-week trial, a federal jury in Miami found that the City of Miami and its former Budget Director committed securities fraud in connection with their disclosures concerning the deteriorating financial condition of the City during 2007 and 2008, and in three separate municipal securities offerings in 2009. via 2016 SEC trial […]

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SEC Cracks Down on Employer “Pretaliation” – Lexology

By Securities Docket on September 16, 2016, 8:49 am

As the SEC’s latest enforcement actions demonstrate, the SEC interprets the prohibition against restricting an employee’s ability to provide information about a possible securities violation to the SEC Section 21F-17 quite broadly. Thus, as the law on this topic develops, employees should be vigilant of the prohibitions that their employer’s place on their ability to […]

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