Securities Docket News Wire for December 5, 2013

Securities Docket News Wire for December 5, 2013

By Securities Docket on December 6, 2013, 8:55 am

Get caught up with the Securities Docket News Wire for December 5, 2013.

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Dec. 19 Webcast: The FCPA Guidance After One Year — The Impact on Compliance and Practice

Dec. 19 Webcast: The FCPA Guidance After One Year — The Impact on Compliance and Practice

By Securities Docket on December 4, 2013, 10:13 am

Please join Robertson Park, Timothy Peterson and Greg Esslinger for this webcast.

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Web Watch: Best of the Week Ending November 29

Web Watch: Best of the Week Ending November 29

By Securities Docket on November 29, 2013, 3:45 pm

Posts on the growing importance of a 1971 case filed by the Ute tribe, why “sleuthing” investors should be celebrated, and the impact of two individuals’ recent wins at trial against the SEC.

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Securities Docket Announces Inaugural ‘Enforcement 40’

Securities Docket Announces Inaugural ‘Enforcement 40’

By Securities Docket on October 10, 2013, 3:15 pm

Securities Docket announces its inaugural “Enforcement 40”—our list of the 40 best and brightest securities enforcement defense lawyers in the business.

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Five SEC Enforcement Directors Convene in D.C. for Historic ‘Directors Panel’

Five SEC Enforcement Directors Convene in D.C. for Historic ‘Directors Panel’

By Securities Docket on October 11, 2013, 5:44 pm

Ceresney, Khuzami, Thomsen, McLucas and Sporkin convene at Securities Enforcement Forum 2013 for ‘Directors Panel.’

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CLE Information and Forms: Securities Enforcement Forum 2013

CLE Information and Forms: Securities Enforcement Forum 2013

By Securities Docket on October 17, 2013, 12:43 pm

CLE information and forms for Securities Enforcement Forum 2013

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Photos and Highlights from Securities Enforcement Forum 2013

Photos and Highlights from Securities Enforcement Forum 2013

By Securities Docket on October 30, 2013, 6:16 pm

If you missed Securities Enforcement Forum 2013 this year, well, you missed a lot! Check out the photos here.

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Dec. 18 Webcast: How to Prove and Defend Fraudulent Transfer Claims — A Legal and Valuation Perspective

Dec. 18 Webcast: How to Prove and Defend Fraudulent Transfer Claims — A Legal and Valuation Perspective

By Securities Docket on November 7, 2013, 12:47 pm

Please join Craig Simon, Dan Winikka, Jeff Litvak and Jack Schwager for this free webcast.

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The SEC’s Budget: ‘Huge’ or ‘Not Sufficient?’ – Compliance Week

By Securities Docket on December 11, 2013, 4:07 pm

The Heritage Foundation argues that the SEC has no lack of money and has actually been the recipient of “huge budget increases” to the point that it has become “unwieldy and unresponsive.” SEC Chair Mary Jo White, however, has stated that the current level of resources is not even sufficient to enforce compliance with the [...]

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SEC Accounting Task Force Looking at Use of Non-GAAP Metrics – WSJ.com

By Securities Docket on December 11, 2013, 7:25 am

“We’re looking at non-GAAP measures,” said David Woodcock, chairman of the SEC’s new Financial Reporting and Audit Task Force, referring to companies’ customized measures that don’t comply with generally accepted accounting principles, or GAAP. Mr. Woodcock, who was speaking at an American Institute of Certified Public Accountants conference, didn’t mention any specific companies that the [...]

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Madoff Liquidation Legal and Professional Fees Hit $823 Million … and Rising – Compliance Week

By Securities Docket on December 10, 2013, 6:00 pm

The latest report on the Madoff liquidation shows that the total amount of approved legal and other professional fees for the matter now stands at $823.68 million, with over $463 million of that amount going to law firm BakerHostetler. via Madoff Liquidation Legal and Professional Fees Hit $823 Million … and Rising – Compliance Week

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Snooping in SEC examiner s briefcase, Madoff hid fraud -ex-aide – Reuters

By Securities Docket on December 10, 2013, 9:41 am

When a pair of U.S. Securities and Exchange Commission examiners visited Bernard Madoff’s offices in 2005, the now-imprisoned financier was not too worried – until he sneaked a look into one of their briefcases. What Madoff found – a news article questioning how he produced positive returns every year – sent him into a rage, [...]

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ASIC puts insider trading under the microscope — The Lawyer

By Securities Docket on December 9, 2013, 5:26 pm

The Australian Securities and Investments Commission (ASIC) has announced that its new $43.7m (£24.2m) next-generation market surveillance system has become operational. The system, known as Market Analysis Intelligence (MAI), will allow ASIC to monitor up to one billion order changes per day. On this basis, MAI will have sufficient capacity to monitor trades where algorithmic [...]

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J.P. Morgan Is in Talks With U.S. Over Madoff Warnings – WSJ.com

By Securities Docket on December 8, 2013, 9:15 am

Manhattan U.S. Attorney Preet Bharara’s office is examining why J.P. Morgan didn’t provide U.S. regulators with a formal “suspicious activity report” raising concerns about Mr. Madoff—despite having done so with a U.K. agency more than a month before Mr. Madoff’s arrest, said the people close to the probe. Mr. Madoff had a two-decade-long banking relationship [...]

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My Interview With Bernie Madoff – WSJ.com

By Securities Docket on December 7, 2013, 2:52 pm

“I will be pleased to have you visit,” read the email that landed in my inbox this spring. It was signed, ” Bernard Madoff. ” That exchange led to a two-hour meeting in May with the most notorious fraudster on Wall Street, during which Mr. Madoff pointed fingers at others and said his decadeslong Ponzi [...]

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Judge Approves $153 Million Settlement in Fannie Mae Securities Class Action – The Blog of Legal Times

By Securities Docket on December 6, 2013, 2:58 pm

A Washington federal trial judge today approved a $153 million settlement between Fannie Mae and shareholders who sued the mortgage giant for securities fraud. via Judge Approves $153 Million Settlement in Fannie Mae Securities Class Action – The Blog of Legal Times

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In the Murky World of Bitcoin, Fraud Is Quicker Than the Law – NYTimes.com

By Securities Docket on December 6, 2013, 7:32 am

The call went out on Twitter: “For insane profits come and join the pump.” It was an invitation to a penny stock-style pump-and-dump scheme — only this one involved Bitcoin, the soaring, slightly scary virtual currency that has beckoned and bewildered people around the world. While such bid ’em up, sell ’em off scams are [...]

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Ex-Tyco CEO stole out of ‘pure’ greed — New York Post

By Securities Docket on December 6, 2013, 7:31 am

Disgraced former Tyco boss Dennis Kozlowski copped to being a greedy crook at his parole hearing. “I fell into what I can best describe as a CEO bubble, and I rationalized that I was more valuable than I was,” he told the board Tuesday. “It was wrong, and I just — it was greed, pure [...]

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