Top SEC Enforcement Events of 2014

Top SEC Enforcement Events of 2014

By Securities Docket on February 19, 2015, 4:00 pm

A look back at the top SEC enforcement developments of 2014.

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Jan. 22 Webcast: Gauging Investor Exposure Post-Halliburton

Jan. 22 Webcast: Gauging Investor Exposure Post-Halliburton

By Securities Docket on January 7, 2015, 3:21 pm

Please join Professor Stephen E. Christophe, Ph.D., and Nessim Mezrahi for this free webcast.

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Jan. 13 Webcast: SEC Enforcement – Key Developments in 2014

Jan. 13 Webcast: SEC Enforcement – Key Developments in 2014

By Securities Docket on December 16, 2014, 1:50 pm

Please join Bill McLucas, Doug Davison, Marty Wilczynski and Jason Flemmons for this free webcast.

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Photos and Highlights from West Coast SEC Directors Roundtable

Photos and Highlights from West Coast SEC Directors Roundtable

By Securities Docket on May 16, 2014, 7:53 am

Photos and highlights from Securities Docket’s West Coast SEC Directors Roundtable.

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Photos and Highlights from Securities Enforcement Forum 2014

Photos and Highlights from Securities Enforcement Forum 2014

By Securities Docket on November 3, 2014, 9:11 am

Video and photo highlights from Securities Enforcement Forum 2014.

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Level Global Co-Founder Files Lawsuit Against Prosecutors, FBI Agents | Compliance Week

By Securities Docket on February 27, 2015, 3:21 pm

Yesterday, Level Global co-founder David Ganek announced that he has filed an unusual lawsuit against U.S. Attorney Preet Bharara and other prosecutors and FBI supervisors and agents who were allegedly involved in the 2010 raid on Level Global. via Level Global Co-Founder Files Lawsuit Against Prosecutors, FBI Agents | Compliance Week

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SEC Probes Companies’ Treatment of Whistleblowers – WSJ

By Securities Docket on February 26, 2015, 9:54 am

In recent weeks the agency has sent letters to a number of companies asking for years of nondisclosure agreements, employment contracts and other documents, according to people familiar with the matter and an agency letter viewed by The Wall Street Journal. The inquiries come as SEC officials have expressed concern about a possible corporate backlash [...]

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SEC Enforcement Chief: Reporting Suspicious Activity ‘Not Optional’ for BDs — ThinkAdvisor

By Securities Docket on February 26, 2015, 9:09 am

Securities and Exchange Commission Enforcement Chief Andrew Ceresney told broker-dealers Wednesday that compliance with the Bank Secrecy Act “is not optional,” and that a BD’s failure to file a required suspicious activity report (SAR) “is, by itself, a basis for enforcement action.” via SEC Enforcement Chief: Reporting Suspicious Activity ‘Not Optional’ for BDs – ThinkAdvisor

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Batista Insider Trading Case in ‘Turmoil’ After Judge Seen Driving Seized Porsche | Compliance Week

By Securities Docket on February 25, 2015, 11:44 am

Yesterday, the landmark Eike Batista insider trading trial in Brazil was “thrown into turmoil” when reporters spotted the judge in the case driving Batista’s white Porsche Cayenne that had been previously seized by authorities along with several other luxury vehicles belonging to Batista. via Batista Insider Trading Case in ‘Turmoil’ After Judge Seen Driving Seized [...]

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She Runs S.E.C. He’s a Lawyer. Recusals and Headaches Ensue. – NYTimes.com

By Securities Docket on February 24, 2015, 7:49 am

… In the nearly two years since Ms. White took over the agency, she has had to recuse herself from more than four dozen enforcement investigations, the interviews and records show, sometimes delaying settlements and opening the door, in at least one case, to a lighter punishment. She Runs S.E.C. He’s a Lawyer. Recusals and [...]

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Brokers Say SEC Must Drop Suit After Insider Charges Tossed – Bloomberg Business

By Securities Docket on February 24, 2015, 7:48 am

Two brokers who got insider trading-trading charges against them thrown out told a judge they shouldn’t have to face a U.S. Securities and Exchange Commission lawsuit over the same trades. via Brokers Say SEC Must Drop Suit After Insider Charges Tossed – Bloomberg Business

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SEC’s Piwowar Seeks Guidelines Governing When SEC Will Bring Cases as APs | Compliance Week

By Securities Docket on February 21, 2015, 12:47 pm

Given the SEC’s 100 percent success rate in over 200 administrative proceedings in FY 2014, SEC Commissioner Piwowar stated in a speech yesterday that as a matter of fairness, the agency should create guidelines to determine which cases it brings as administrative proceedings and which it brings in federal court. via SEC’s Piwowar Seeks Guidelines [...]

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Decades Later, the Law of Insider Trading Remains Elusive and Undefined | Compliance Week

By Securities Docket on February 20, 2015, 2:35 pm

Despite numerous opportunities to define insider trading going back as far as 1969, Congress has been either unwilling or unable to provide such a definition. The current court battle going on in the U.S. v. Newman insider trading case has led to renewed calls from Mark Cuban and others for Congress to finally act. via [...]

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SEC challenged over use of in-house judges – FT.com

By Securities Docket on February 20, 2015, 10:23 am

The latest complaint seeks SEC documents that could help shed light on what critics say is the special treatment reserved for judges who preside over the agency’s administrative proceedings, which have been used to bring cases against SAC Capital founder Steve Cohen, the Big Four accounting firms and large banks like Wells Fargo. via SEC [...]

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In Corporate Crimes, Individual Accountability Is Elusive – NYTimes.com

By Securities Docket on February 20, 2015, 10:07 am

Professor Garrett analyzed 303 nonprosecution and deferred prosecution agreements with corporations from 2001 to 2014 in which companies avoided guilty pleas by paying fines and agreeing to other measures. It would seem axiomatic that in all of those cases, individuals actually committed the crimes, since corporations are legal entities and can’t be charged unless their [...]

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