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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KPMG to Pay as Much as $50 Million to Settle SEC Probe – WSJ

By Securities Docket on June 15, 2019, 1:24 pm

KPMG LLP is preparing to pay as much as $50 million to settle civil claims related to the conduct of former partners who learned which of their audits would be subject to surprise regulatory examinations, according to people familiar with the matter. The fine would be one of the highest ever imposed on an auditor […]

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A Swift Kik Or A Slow Roll? Crypto Lawyers Address Tough Questions About SEC V. Kik Interactive Inc.

By Securities Docket on June 15, 2019, 1:18 pm

As crypto litigation hits the headlines, many in the blockchain space are focused on the U.S. Securities and Exchange Commission’s (the “SEC”) recently filed complaint against Kik Interactive Inc. (“Kik”).  However, at least some crypto lawyers believe that, in the near term, the New York Attorney General’s (the “NY AG”) ongoing proceeding against Bitfinex, Tether […]

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House Panel OKs Approps Bill Hiking SEC Enforcement Funding

By Securities Docket on June 12, 2019, 11:43 am

A funding boost for SEC enforcement, compliance inspections, and other agency programs cleared a major hurdle in the House June 11. The House Appropriations Committee approved legislation that would give the Securities and Exchange Commission about $1.9 billion, approximately $200 million more than it requested for fiscal 2020 and received in fiscal 2019. The panel […]

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The Largest SEC Whistleblower Award in History: One Year Later | New York Law Journal

By Securities Docket on June 12, 2019, 8:10 am

It’s been just over a year since the Securities and Exchange Commission awarded three whistleblowers a whopping $83 million for tipping the Commission to misconduct at Merrill Lynch. Jordan Thomas, who represented all three whistleblowers, sheds light on the historic whistleblower award, his thoughts on the SEC whistleblower program generally, and what he predicts down […]

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Bigger M&A deals mean more insurance claims, AIG finds | Financial Times

By Securities Docket on June 12, 2019, 7:33 am

M&A insurance, also known as warranty and indemnity cover, has been a booming market over the past few years, as buyers and sellers seek protection against the chance that problems arise after the deal closes. The main causes of claims on this type of insurance are problems with financial statements, tax, and compliance with laws. […]

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Chubb Sounds Securities Litigation Alarm, Calls for Reform | The D&O Diary

By Securities Docket on June 11, 2019, 4:00 pm

In the face of these alarming trends, the report advocates a number of reforms. First and foremost, the report advocates Congressional enactment of legislation overturning Cyan. Companies, the study notes, “should not have to incur the risk and costs of defending themselves in two or more different courts simultaneously.” Congress, the report suggests, should adopt […]

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Former U.S. Department of Justice Associate Deputy AG Returns to King & Spalding

By Securities Docket on June 11, 2019, 1:02 pm

King & Spalding today announced that Matt Baughman, former Associate Deputy Attorney General at the U.S. Department of Justice (DOJ), has returned as a partner in the firm’s Special Matters and Government Investigations team in the Atlanta office. via Former U.S. Department of Justice Associate Deputy AG Returns to King & Spalding.

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A Swift Kik Or A Slow Roll? Crypto Lawyers Address Tough Questions About SEC V. Kik Interactive Inc.

By Securities Docket on June 11, 2019, 9:18 am

After reading the Kik Complaint, I reached out to a few of my friends in the U.S. crypto space, including two experienced litigators (Kayvan Sadeghi, a securities litigation partner at Schiff Hardin LLP, and Jake Chervinsky, general counsel of Compound Finance) and three seasoned transactional lawyers (Jay Baris, a partner at Shearman & Sterling LLP, […]

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A New Era of Extraterritorial SEC Enforcement Actions

By Securities Docket on June 10, 2019, 8:04 am

SEC v. Scoville expands the scope of the SEC’s enforcement authority beyond the limitations imposed by Morrison, returning to the so-called “conduct-and-effects” test to determine extraterritoriality. This departure creates uncertainty about the scope of the SEC’s enforcement authority and additional risk for foreign entities and individuals. via A New Era of Extraterritorial SEC Enforcement Actions.

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SEC an opportunity new regional director couldn’t pass up – HoustonChronicle.com

By Securities Docket on June 10, 2019, 7:50 am

The U.S. Securities and Exchange Commission has named David Peavler, general counsel of the Irving financial services frim HD Vest Financial, to lead the agency’s Texas office. via SEC an opportunity new regional director couldn’t pass up – HoustonChronicle.com.

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