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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SEC Awards $4.5 Million to Whistleblower Whose Internal Reporting Led to Successful SEC Case and Related Action

By Securities Docket on May 24, 2019, 1:29 pm

The Securities and Exchange Commission awarded more than $4.5 million to a whistleblower whose tip triggered the company to review the allegations as part of an internal investigation and subsequently report the whistleblower’s allegations to the SEC and another agency. The whistleblower sent an anonymous tip to the company alleging significant wrongdoing and submitted the […]

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The Bitcoin Plague Spreads to Retail | LinkedIn

By Securities Docket on May 23, 2019, 12:58 pm

Warren Buffett, perhaps the most celebrated investor ever known, refers to bitcoin as “rat poison squared.” I disagree. Bitcoin is worse than rat poison – it is more akin to the plague and mayhem that rats can spread if not properly contained. Now the bitcoin plague has spread to U.S. shopping malls. via The Bitcoin […]

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The Insider Trading ‘Mess’ Congress Is Trying To Fix

By Securities Docket on May 23, 2019, 7:59 am

The House Committee on Financial Services recently approved a bill, the Insider Trading Prohibition Act, which creates a statutory definition of insider trading in response to what Rep. Jim Himes, D-Conn., called a “judicial mess” of court decisions on the subject. This “judicial mess” exists, of course, because Congress has never adopted an explicit prohibition […]

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China’s former securities regulator Liu Shiyu is probed over family members’ alleged insider trading and favouring hometown IPOs, sources say | South China Morning Post

By Securities Docket on May 23, 2019, 7:57 am

Liu Shiyu, China’s former securities regulator, is being investigated for allegedly fast-tracking initial public offerings (IPOs) of small banks in his hometown and also of having family members who bought bonds at below-market prices, according to sources and media reports. via China’s former securities regulator Liu Shiyu is probed over family members’ alleged insider trading […]

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Former Federal Prosecutor Andrew G. McBride Joins McGuireWoods as Washington Partner | McGuireWoods

By Securities Docket on May 21, 2019, 9:38 am

Andrew G. McBride, a former federal prosecutor and nationally recognized trial and appellate lawyer with more than two decades of experience representing corporate clients and individuals, has joined McGuireWoods’ Government Investigations & White Collar Litigation Department as a partner in Washington, D.C. via Former Federal Prosecutor Andrew G. McBride Joins McGuireWoods as Washington Partner | […]

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The Looming SEC IEO Fintech Smackdown | LinkedIn

By Securities Docket on May 20, 2019, 9:59 am

Another SEC crypto-crackdown is in the works with a brand new target: the so-called initial exchange offering, or “IEO.” But what the heck is an IEO? Not to be confused with initial coin offerings (or “ICOs”), an IEO is a crypto-financing model offered and administrated via a cryptocurrency trading platform on behalf of a company (typically […]

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Some Securities Fraudsters Escape Paying SEC Fines – WSJ

By Securities Docket on May 20, 2019, 9:56 am

Wall Street watchdogs often tout the fines they levy on alleged wrongdoers. Yet much of that money is never collected. The Securities and Exchange Commission over the five years ending in 2018 took in 55% of the $20 billion in enforcement fines set through settlements or court judgments, according to agency statistics. During the prior […]

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SEC Enforcement Actions against Public Companies Remain at Near-Record Levels Despite Government Shutdown | Cornerstone Research

By Securities Docket on May 20, 2019, 7:27 am

U.S. Securities and Exchange Commission enforcement actions against public companies and their subsidiaries remained at near-record levels through the first half of the 2019 fiscal year, which ended March 31. According to a report released today by the NYU Pollack Center for Law & Business and Cornerstone Research, enforcement actions reached these levels despite the […]

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SEC: Hester Peirce Says the Time for Approval is Now (2019) – Crypto Daily™

By Securities Docket on May 17, 2019, 7:41 am

The United States Securities and Exchange Commission (SEC) is currently looking over three Bitcoin exchange-traded funds (ETFs). One of these ETFs was filed just last week in order to keep track of two cryptocurrencies. A commissioner from the SEC said at a Consensus conference on Monday that the time is right for a Bitcoin ETF […]

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Two Internal Auditors Thought They Could Get Away with Insider Trading, LOL – Going Concern

By Securities Docket on May 17, 2019, 7:40 am

Two internal auditor buddies got a starring role in an SEC litigation release after they were charged with insider trading for monkeying around with secret information about their respective employers. Lloyd Schuman, a former senior internal auditor at Verso Corp., and Dane Janes, an internal auditor with Ashford Hospitality Trust Inc., agreed to pay a […]

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