Securities Docket:

Oct. 17 Webcast: Corporate Board Oversight of Cybersecurity — A Blueprint for Success

By Securities Docket on September 26, 2018, 11:40 am

Please join John Reed Stark and David Fontaine for this free webcast.

Full Story »

Posted in Industry, Top | Tagged Boards of Directors, Cybersecurity, Webcasts

June 28 Webcast: The Bribery Act, Chapter 7 — The Americanisation of UK Corporate Crime

By Securities Docket on June 19, 2018, 1:53 pm

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

Full Story »

Posted in Criminal, Global | Tagged UK Bribery Act, Webcasts

June 29 Webcast: Financial Statements 101 — Emerging Trends and Accounting Principles for Lawyers

By Securities Docket on June 7, 2018, 7:44 am

Please join Jeff Litvak and Jason Tolmaire for this free webcast.

Full Story »

Posted in Industry, Top | Tagged Financial Statements, GAAP, Webcasts

Highlights from Securities Enforcement Forum 2017

By Securities Docket on November 16, 2017, 6:26 pm

Photos and highlights from Securities Enforcement Forum 2017.

Full Story »

Posted in Industry, SEC, Top | Tagged Securities Enforcement Forum

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.

Full Story »

Posted in Industry, SEC, Top | Tagged Enforcement 40

Previous Pause Next

What Are the Consequences of Elon Musk’s S.E.C. Criticism? – The New York Times

By Securities Docket on October 18, 2018, 7:27 am

Mr. Musk’s criticism of the agency appears petulant and poorly timed, given his need to have the settlement approved, but it is not the type of statement that misleads shareholders. It does indicate that he may not be as contrite as other defendants who settle with the S.E.C., however, and could violate the injunction. That […]

Posted in SEC, Top | Tagged Tesla

Ex-financial advisor Dawn Bennett found guilty in $20M Ponzi scheme case | Financial Planning

By Securities Docket on October 18, 2018, 7:26 am

After deliberating for under five hours Wednesday, a federal jury convicted Bennett on 17 charges, including false statements on a loan application and three kinds of fraud: securities, bank and wire. The case notably had some unusual elements for a securities fraud trial. FBI agents searching Bennett’s penthouse found evidence of voodoo-type witchcraft, specifically instructions […]

Posted in Criminal, Top | Tagged Fraud, Guilty Verdict

SEC warns corporate cyber weakness could violate federal law | Reuters

By Securities Docket on October 17, 2018, 7:34 am

Public companies that fail to tighten their cyber security controls could be violating federal law, the U.S. Securities and Exchange Commission (SEC) said on Tuesday. The regulator’s warning came in the form of a report on its investigation to assess whether nine companies that had been victims of cyber-related frauds had sufficient internal accounting controls […]

Posted in SEC, Top | Tagged Cyber controls

SEC Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting Controls

By Securities Docket on October 16, 2018, 11:06 am

The Securities and Exchange Commission today issued an investigative report cautioning that public companies should consider cyber threats when implementing internal accounting controls. The report is based on the SEC Enforcement Division’s investigations of nine public companies that fell victim to cyber fraud, losing millions of dollars in the process. via SEC.gov | SEC Investigative […]

Posted in SEC, Top | Tagged Cybersecurity

Federal Judge Approves Elon Musk, Tesla Settlements With SEC – WSJ

By Securities Docket on October 16, 2018, 11:04 am

A federal judge on Tuesday approved settlements between Elon Musk, Tesla Inc. and securities regulators over the chief executive’s August tweet saying he had secured funding to take the auto maker private. U.S. Judge Alison Nathan of the U.S. District Court for the Southern District of New York signed orders completing the two settlements without […]

Posted in SEC, Top | Tagged Settlements, Tesla

Google+ User Data Securities Lawsuits Filed Against Alphabet | The D&O Diary

By Securities Docket on October 15, 2018, 7:41 am

Last week, the Wall Street Journal reported that this past spring Google had exposed thousands of the Google+ social network users’ private data and then opted to withhold disclosure of the incident because of concerns that doing so would attract regulatory scrutiny and harm the company’s reputation. Following the news reports, questions immediately were asked about […]

Posted in Class Actions, Top | Tagged Data breach

Trump push for fewer company profit reports tempered by SEC | Bloomberg News

By Securities Docket on October 15, 2018, 7:32 am

“I don’t think quarterly reporting is going to change for our top names anytime soon,” Clayton said Thursday at an event hosted by the Bipartisan Policy Center in Washington. “It was good of the president to raise it,” he said, adding that it could make sense to ease the requirements for smaller companies. via Trump […]

Posted in SEC, Top | Tagged Disclosure

Rep. Chris Collins Will Face Trial In 2020

By Securities Docket on October 15, 2018, 7:31 am

New York Rep. Chris Collins, who faces insider trading charges stemming from his investment in an Australian biotech company, will get his day in court on Feb. 3, 2020. Assistant U.S. Attorney Scott Hartman repeatedly asked to move up the trial date, stating there is a “strong public interest in seeing this case resolved in […]

Posted in Criminal, Top | Tagged Insider Trading, US Congress

Former SEC Counsel Joins Cahill | Cahill Gordon & Reindel LLP

By Securities Docket on October 15, 2018, 7:10 am

Cahill Gordon & Reindel LLP is pleased to announce that C. Wallace DeWitt, most recently senior counsel to Commissioner Michael S. Piwowar of the Securities and Exchange Commission (“SEC”), joined as a Counsel in its securities and regulatory enforcement practice. via Former SEC Counsel Joins Cahill | Cahill Gordon & Reindel LLP.

Posted in People, SEC, Top | Tagged Regulators

Ponzi scheme suspect paid $720K for prayers amid SEC probe – Beaumont Enterprise

By Securities Docket on October 12, 2018, 9:03 am

An investment adviser charged with orchestrating a multimillion-dollar Ponzi scheme spent nearly three-quarters of a million dollars on prayers by Hindu priests in India to ward off a federal investigation and save her failing business, according to testimony at her trial this week. Using investors’ money, Dawn Bennett paid a man in Washington state approximately […]

Posted in SEC, Top | Tagged Bennett, Hoodoo

Securities Docket

Oct. 17 Webcast: Corporate Board Oversight of Cybersecurity — A Blueprint for Success

June 28 Webcast: The Bribery Act, Chapter 7 — The Americanisation of UK Corporate Crime

June 29 Webcast: Financial Statements 101 — Emerging Trends and Accounting Principles for Lawyers

Highlights from Securities Enforcement Forum 2017

Securities Docket Announces ‘Enforcement 40′ for 2017

What Are the Consequences of Elon Musk’s S.E.C. Criticism? – The New York Times

Ex-financial advisor Dawn Bennett found guilty in $20M Ponzi scheme case | Financial Planning

SEC warns corporate cyber weakness could violate federal law | Reuters

SEC Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting Controls

Federal Judge Approves Elon Musk, Tesla Settlements With SEC – WSJ

Google+ User Data Securities Lawsuits Filed Against Alphabet | The D&O Diary

Trump push for fewer company profit reports tempered by SEC | Bloomberg News

Rep. Chris Collins Will Face Trial In 2020

Former SEC Counsel Joins Cahill | Cahill Gordon & Reindel LLP

Ponzi scheme suspect paid $720K for prayers amid SEC probe – Beaumont Enterprise

Criminal

Global

People

SEC

Register Here for SEF 2018!

‘Enforcement 40′ for 2017

Our Sponsors

Join Us On LinkedIn

Archives