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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Ex-Kirkland Partner Robert Khuzami to Leave SDNY Deputy Role | New York Law Journal

By Securities Docket on March 22, 2019, 1:06 pm

Robert Khuzami,  the deputy U.S. attorney in Manhattan, is stepping down April 12. Khuzami, a former Kirkland & Ellis white-collar partner, joined the Southern District of New York at the beginning of 2018, serving as second-in-command to U.S. Attorney Geoffrey Berman. Berman named Audrey Strauss, currently senior counsel in the office, to replace Khuzami as deputy U.S. attorney and […]

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SEC Pay Raise Plan Gets Cold Shoulder From Agency Union Leaders – Bloomberg

By Securities Docket on March 22, 2019, 9:49 am

U.S. Securities and Exchange Commission employees are going to get more help and smaller raises under a plan laid out by Chairman Jay Clayton, and the agency’s union leaders aren’t happy about it. The Wall Street regulator will add 100 people this year after lifting a hiring freeze, Clayton said in an email to staff […]

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Rajat Gupta Is Unrepentant for His Crimes – The New York Times

By Securities Docket on March 22, 2019, 9:47 am

Mr. Gupta, in his first interview since being released from prison three years ago, recalled the moment when he walked over to Mr. Rajaratnam on the prison grounds. “I told him, ‘Raj, I am here because of you,’” Mr. Gupta told me. The men did not shake hands. “He’s not the apologizing type, so he […]

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Allison Lee Is Said to Be Pick for SEC’s Vacant Democratic Seat – Bloomberg

By Securities Docket on March 21, 2019, 7:57 am

President Donald Trump is preparing to name Allison Lee in the coming weeks to fill the open Democratic seat on the U.S. Securities and Exchange Commission, according to people familiar with the matter. The selection of Lee to replace Kara Stein, who left the SEC in January after her term ended, would bring the five-member […]

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Senior SEC Enforcement Lawyer Charles D. Riely Joins Jenner & Block in New York

By Securities Docket on March 20, 2019, 2:16 pm

Jenner & Block announced today that Charles D. Riely, a former assistant regional director of the US Securities and Exchange Commission’s (SEC) Division of Enforcement, joined the firm as a partner in New York.  He is a member of the firm’s Investigations, Compliance and Defense Practice. via Jenner & Block | Senior SEC Enforcement Lawyer […]

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$475M Lawsuit Alleges Danske Bank’s Inaction Created ‘Enormous Scandal’ | Corporate Counsel

By Securities Docket on March 20, 2019, 9:42 am

At the heart of a $475 million lawsuit that investors in 19 countries have brought against Denmark’s largest bank is a lesson for legal departments regarding the importance of compliance and disclosure. “You need to take regulatory compliance very seriously and when you do have problems don’t cover it up. That will only turn it into […]

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SEC Stunned That Musk Failed to Get Pre-Approval of Tweets – Bloomberg

By Securities Docket on March 19, 2019, 9:19 am

The U.S. Securities and Exchange Commission said it’s “stunning” that Elon Musk didn’t seek pre-approval of any of his tweets about Tesla Inc. in the months since he was ordered by a judge to do so. Musk’s August tweets about taking Tesla private resulted in $40 million in fines, the appointment of two independent board […]

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Justin C. Jeffries Named Associate Regional Director for Enforcement in Atlanta Office

By Securities Docket on March 19, 2019, 9:01 am

The Securities and Exchange Commission today announced that Justin C. Jeffries has been named the Associate Regional Director for enforcement in the Atlanta Regional Office. Mr. Jeffries succeeds Aaron Lipson, who left the agency in December 2018.  In his new role, Mr. Jeffries will oversee the Atlanta office’s enforcement efforts in Georgia, North Carolina, South […]

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Late to the Party, the SEC Unleashes a Dubious Suit Against VW | The Recorder

By Securities Docket on March 18, 2019, 1:59 pm

Sure, there still were some ongoing state-level actions, but all the big stuff was supposedly over, wrapped up in a $14.7 billion deal that covered a class action by VW owners plus claims by the Department of Justice, the EPA, the Federal Trade Commission, the California Air Resources Board and attorneys general of 44 states, […]

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A Canadian whistleblower program targeting financial crime pays off | Whistleblower Protection Blog

By Securities Docket on March 15, 2019, 7:54 am

Three Canadian whistleblowers have been awarded more than $7 million, the first payment of its kind by the Ontario Securities Commission (OSC). “These individuals voluntarily provided high quality, timely, specific and credible information, which helped advance enforcement actions resulting in monetary payments to the OSC,” according to a statement from the Canadian agency. via A […]

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