Seeking Nominations for Securities Docket’s ‘Enforcement 40′ for 2020

Seeking Nominations for Securities Docket’s ‘Enforcement 40′ for 2020

By Securities Docket on September 9, 2020, 10:21 am

Securities Docket welcomes your nominations for our ‘Enforcement 40′ for 2020 — the 40 best and brightest securities enforcement defense professionals in the industry.

Full Story »

Posted in , , | Tagged

Previous Pause Next

California Board Diversity Laws Make Waves

By Securities Docket on October 22, 2020, 10:01 am

Experts following the new statutes agree on two key points. First, California corporations have succeeded in finding women directors from diverse backgrounds in response to the 2018 statute, despite opponents’ assertions that boards would have difficulty identifying good nominees. As a result, they contend that boards won’t have trouble identifying other diverse candidates either. And […]

Posted in , | Tagged ,

The Deutsche Bank whistleblower who gave up $8m is going broke | Financial Times

By Securities Docket on October 16, 2020, 7:49 am

That Mr Ben-Artzi failed to benefit from the SEC award is not surprising. The securities watchdog had allocated it to him in 2016, a year after it fined Deutsche Bank $55m for artificially boosting its balance sheet. But Mr Ben-Artzi rejected it, writing in the Financial Times that he could not take money that had […]

Posted in , | Tagged

Two Trump-appointed circuit judges don’t think much of shareholder class actions

By Securities Docket on October 15, 2020, 8:17 am

Last week, a three-judge panel of the 9th U.S. Circuit Court of Appeals issued a significant decision in a shareholder class action against BofI, a bank holding company. The appeals court, in an opinion by Judge Paul Watford, revived a class action alleging, among other things, that the bank’s share price plunged in response to […]

Posted in , | Tagged

Davis Polk Welcomes Veteran Federal Prosecutor Uzo Asonye as White Collar Partner in DC | Davis Polk & Wardwell LLP

By Securities Docket on October 14, 2020, 4:39 pm

Davis Polk today announced that Uzo Asonye, a seasoned trial lawyer with more than a decade of experience prosecuting complex financial crimes and public corruption offenses, will join the firm as a partner in its White Collar Defense and Investigations Group in Washington DC. via Davis Polk Welcomes Veteran Federal Prosecutor Uzo Asonye as White […]

Posted in , | Tagged

Former congressman Chris Collins begins prison term | Top Story | thedailynewsonline.com

By Securities Docket on October 14, 2020, 4:33 pm

FPC Pensacola is a federal prison camp about a nine-hour drive from Collins’ home in Marco Island, Fla., where former House of Representatives Speaker John A. Boehner is among Collins’ neighbors. Boehner wrote a letter of support on behalf of his former colleague to Judge Vernon S. Broderick. “In the absence of a decision on […]

Posted in , | Tagged

California Board of Directors Diversity Bill Signed Into Law, Challenged by Lawsuit | The D&O Diary

By Securities Docket on October 12, 2020, 9:21 am

In addition to the recent litigation, efforts to advance board racial diversity have included legislation. Earlier this year, the California legislature passed a bill mandating the inclusion on boards of California headquartered companies of representatives of “underrepresented communities.” On September 30, 2020, California Governor Gavin Newsome signed the bill into law. As discussed below, even […]

Posted in , | Tagged ,

An Update on FY 2020 Results – Remarks at SEC Speaks

By Securities Docket on October 9, 2020, 8:24 am

To elaborate on the “results speak for themselves” point, I would like to summarize some recent statistics I shared with our staff. Starting with the Division of Enforcement, the Commission brought over 700 actions in FY 20, a significant percentage of which were brought after March 15.  The Commission obtained financial remedies of more than […]

Posted in , | Tagged

Red flags for directors: SEC may take magnifying glass to disclosures involving significant judgments in COVID-19 era – Lexology

By Securities Docket on October 9, 2020, 8:08 am

During a discussion of red flags that should draw directors’ attention, Ms. Stone noted that the SEC may take a magnifying glass to disclosures involving significant judgements and estimates, particularly in the current economic conditions. She quoted her former colleague Steven Peikin, previous Co-Director of the Division of Enforcement, who stated in a speech at […]

Posted in , | Tagged

Attorney General William P. Barr Announces Publication of Cryptocurrency Enforcement Framework | OPA | Department of Justice

By Securities Docket on October 8, 2020, 2:01 pm

“At the FBI, we see first-hand the dangers posed when criminals bend the important technological promise of cryptocurrency to illicit ends,” said FBI Director Christopher Wray.   “As this Enforcement Framework describes, we see criminals using cryptocurrency to try to prevent us from ‘following the money’ across a wide range of investigations, as well as to […]

Posted in , | Tagged

SEC Names Nichola L. Timmons Chief of New Office of Bankruptcy, Collections, Distributions, and Receiverships

By Securities Docket on October 8, 2020, 8:17 am

The Securities and Exchange Commission today announced that Nichola L. Timmons has been named Chief of the newly-formed Office of Bankruptcy, Collections, Distributions, and Receiverships in the Division of Enforcement. This new office will centralize existing functions to continue to achieve efficiencies and maximize results for investors. Among other things, the office will oversee the […]

Posted in , | Tagged

Criminal

Global

People

SEC

‘Enforcement 40′ for 2017

ENf 40 230 column
Securities-Docket_Medium-Rectangle_CaseStudyArrow

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives