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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Hacker given three-year jail term for insider trading

By Securities Docket on June 25, 2019, 11:40 am

A Melbourne man has been sentenced to three years imprisonment after hacking a financial publisher’s system and engaging in insider trading. IT consultant Steven Oakes today pleaded guilty to 11 charges of insider trading, unauthorised access to data with the intention to commit a serious offence, and the alteration of electronic devices required by the […]

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Acclaimed Mueller Prosecutor Andrew D. Goldstein Joins Cooley

By Securities Docket on June 24, 2019, 10:45 am

Andrew D. Goldstein is joining Cooley as a litigation partner in the firm’s Washington, DC, and New York offices. He arrives from the Special Counsel’s Office at the US Department of Justice, where he served as senior assistant special counsel. Goldstein also is the former chief of the public corruption unit of the US Attorney’s […]

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Ex-SAC Fund Manager Has Insider-Trading Plea Tossed by Judge – Bloomberg

By Securities Docket on June 24, 2019, 10:41 am

A former SAC Capital Advisors LP fund manager had his conviction for insider trading tossed out after a judge said current law no longer supports his guilty plea. Richard S. Lee pleaded guilty in 2013 days before SAC Capital was indicted for orchestrating a massive insider-trading scheme. Lee, who cooperated with prosecutors before seeking to […]

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SEC’s In-House Judge System Denies Access to Juries | ThinkAdvisor

By Securities Docket on June 24, 2019, 10:39 am

Unless the Supreme Court or Congress intervenes, some SEC defendants will have access to federal court juries and some will not despite similar allegations and punishments put forth by the SEC. via SEC’s In-House Judge System Denies Access to Juries | ThinkAdvisor.

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Elon Musk’s tweets prompt SEC official to call for guidelines on CEOs’ social media use – Los Angeles Times

By Securities Docket on June 24, 2019, 10:36 am

Robert Jackson, one of the Securities and Exchange Commission’s four commissioners, said the agency should consider publishing new guidance on chief executives’ use of social media platforms such as Twitter and Facebook, in the wake of controversies involving Tesla founder Elon Musk. “Without prejudging a particular matter, it might be time for us to come […]

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Jeannie Rhee Joins Paul, Weiss From the Mueller Special Counsel’s Office | Paul, Weiss

By Securities Docket on June 24, 2019, 10:35 am

Paul, Weiss, Rifkind, Wharton & Garrison LLP announced today that Jeannie S. Rhee, a former United States Deputy Assistant Attorney General and most recently a leading prosecutor in the office of Special Counsel Robert Mueller, is joining the firm as a partner in the Litigation Department, resident in the Washington, DC office. Ms. Rhee will […]

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Statement on Senate Confirmation of Allison H. Lee

By Securities Docket on June 21, 2019, 11:49 am

We congratulate Allison on her successful Senate confirmation, and, on behalf of the entire agency, we welcome her back to the SEC. We look forward to her further contributions to our work in advancing the agency’s mission on behalf of our investors and markets. via SEC.gov | Statement on Senate Confirmation of Allison H. Lee.

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KPMG to Pay as Much as $50 Million to Settle SEC Probe – WSJ

By Securities Docket on June 15, 2019, 1:24 pm

KPMG LLP is preparing to pay as much as $50 million to settle civil claims related to the conduct of former partners who learned which of their audits would be subject to surprise regulatory examinations, according to people familiar with the matter. The fine would be one of the highest ever imposed on an auditor […]

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A Swift Kik Or A Slow Roll? Crypto Lawyers Address Tough Questions About SEC V. Kik Interactive Inc.

By Securities Docket on June 15, 2019, 1:18 pm

As crypto litigation hits the headlines, many in the blockchain space are focused on the U.S. Securities and Exchange Commission’s (the “SEC”) recently filed complaint against Kik Interactive Inc. (“Kik”).  However, at least some crypto lawyers believe that, in the near term, the New York Attorney General’s (the “NY AG”) ongoing proceeding against Bitfinex, Tether […]

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House Panel OKs Approps Bill Hiking SEC Enforcement Funding

By Securities Docket on June 12, 2019, 11:43 am

A funding boost for SEC enforcement, compliance inspections, and other agency programs cleared a major hurdle in the House June 11. The House Appropriations Committee approved legislation that would give the Securities and Exchange Commission about $1.9 billion, approximately $200 million more than it requested for fiscal 2020 and received in fiscal 2019. The panel […]

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