The Supreme Court’s Janus Decision After Three Years: Impact on Private, SEC and DOJ Cases

The Supreme Court’s Janus Decision After Three Years: Impact on Private, SEC and DOJ Cases

By Securities Docket on July 23, 2014, 10:40 am

Please join Patrick F. Linehan and John Rizio-Hamilton for this free webcast

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July 23 Webcast: The Realities of a Daubert Challenge and Economic Damages — An Update

July 23 Webcast: The Realities of a Daubert Challenge and Economic Damages — An Update

By Securities Docket on July 10, 2014, 5:11 pm

Please join Justin Kay, Jeff Litvak and Brent Miller for this free webcast.

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July 1 Webcast: The UK Bribery Act Turns Three Years Old — What a Difference a Year Makes!

July 1 Webcast: The UK Bribery Act Turns Three Years Old — What a Difference a Year Makes!

By Securities Docket on June 17, 2014, 7:46 am

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

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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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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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5 Great Reasons to Attend Securities Enforcement Forum 2014 (Oct. 14, 2014 in D.C.)

5 Great Reasons to Attend Securities Enforcement Forum 2014 (Oct. 14, 2014 in D.C.)

By Securities Docket on March 14, 2014, 4:24 pm

Five great reasons to attend Securities Enforcement Forum 2014!

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May 29 Webcast: Cybersecurity and Financial Firms–Legal Counsel as Quarterback for Data Breach Incident Response

May 29 Webcast: Cybersecurity and Financial Firms–Legal Counsel as Quarterback for Data Breach Incident Response

By Securities Docket on April 30, 2014, 3:53 pm

Please join John Reed Stark and Nicholas A. Oldham 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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June 25 Webcast: The Intersection of Anti-Corruption and Trade Regulation Compliance

June 25 Webcast: The Intersection of Anti-Corruption and Trade Regulation Compliance

By Securities Docket on June 5, 2014, 3:47 pm

Please join Peter Bradford, Charlie Steele, Louis D. Greenstein, J. Patrick Rowan, and Scott S. George for this free webcast.

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People Who Don’t Get It: Investor Relations Execs Who Engage in Insider Trading — Compliance Week

By Securities Docket on July 23, 2014, 6:15 pm

Not too far removed from public company employees who foolishly believe they can get away with insider trading in their own company’s stock are investment relations executives who foolishly think they can get away with insider trading stock in the stock of their public company clients. Bad idea! via People Who Don’t Get It: Investor [...]

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Sean Prosser Joins Perkins Coie in San Diego

Sean Prosser Joins Perkins Coie in San Diego

By Securities Docket on July 22, 2014, 5:26 pm

Sean T. Prosser joins Perkins Coie from Morrison & Foerster.

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Insider Trading Defendant Tries Out ‘Notorious B.I.G.’ Strategy at Sentencing | Compliance Week

By Securities Docket on July 22, 2014, 4:12 pm

Former investment banker Frank Perkins Hixon Jr. tried out a different approach in court yesterday when he argued that the court should sentence him to a prison term of less than four years. Let’s call it the “Notorious B.I.G.” strategy. via Insider Trading Defendant Tries Out ‘Notorious B.I.G.’ Strategy at Sentencing | Compliance Week

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Madoff associates should get ‘significant’ time: prosecutors – Reuters

By Securities Docket on July 21, 2014, 11:25 am

Five former employees of disgraced investment manager Bernard Madoff should be sentenced to “significant” prison sentences of up to 20 years or more, prosecutors said in a court filing on Friday. via Madoff associates should get ‘significant’ time: prosecutors – Reuters

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Rajaratnam’s acquittal limits insider trading law — New York Times

By Securities Docket on July 21, 2014, 11:24 am

That surely came as no surprise to prosecutors in Bharara’s office. Letters from prosecutors to the judge indicate that they were upset that she did not let the insider trading counts go to the jury rather than take the rare step of dismissing them — a step the prosecutors can’t appeal. In one letter, they [...]

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Why the SEC and DOJ are on Different ‘Playing Fields’ for FCPA Enforcement – Compliance Week

By Securities Docket on July 18, 2014, 8:58 am

Over at the FCPA Professor blog, which celebrated its 5th birthday this week, Professor Mike Koehler offers an important reminder to those who would compare the SEC’s enforcement action in the FCPA area to that of the DOJ. via Why the SEC and DOJ are on Different ‘Playing Fields’ for FCPA Enforcement – Compliance Week.

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Madoff Bankruptcy Trustee Files Amended Lawsuit Against Sons – Law Blog – WSJ

By Securities Docket on July 16, 2014, 9:42 am

The bankruptcy trustee for Bernard L. Madoff‘s investment firm filed an amended lawsuit against Mr. Madoff’s two sons on Tuesday, again claiming they were aware the operation was a fraud and seeking the return of more than $153 million they took in the form of what are described as inflated salaries, bonuses, sham loans and [...]

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‘Laws of the Land’ Finally Catching Up to Former Satyam CEO Raju – Compliance Week

By Securities Docket on July 16, 2014, 9:21 am

In January 2009, Satyam CEO B. Ramalinga Raju admitted that he had falsified the company’s financial records in a $1 billion fraud. Five years later, India’s SEBI has finally ordered Raju to disgorge $307 million, and a verdict in his criminal case is expected by the end of the month. via ‘Laws of the Land’ [...]

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Ex-Deutsche salesman gets sentenced in Tokyo for bribery | Reuters

By Securities Docket on July 16, 2014, 7:48 am

A former Deutsche Bank salesman in Tokyo was handed a suspended prison sentence on Wednesday for bribing a pension fund official in a case that has put a spotlight on the compliance practices of the Japanese arm of Germany’s largest bank. via Ex-Deutsche salesman gets sentenced in Tokyo for bribery — Reuters

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Gamification Spreads to Investment Banking with ‘The M&A Game’ – Compliance Week

By Securities Docket on July 15, 2014, 5:05 pm

Compliance training has already been ‘gamified’ through online games that use scenarios involving fictional investment bank transactions, but why stop there? Now investment banking itself has been gamified with the release of “The M&A Game.” via Gamification Spreads to Investment Banking with ‘The M&A Game’ – Compliance Week

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