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.

Full Story »

Posted in , | Tagged , , ,

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.

Full Story »

Posted in , , | Tagged , , ,

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.

Full Story »

Posted in , | Tagged , ,

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.

Full Story »

Posted in , , | Tagged

Previous Pause Next

Well, That Didn’t Take Long: Lyft Hit with IPO-Related Securities Suit | The D&O Diary

By Securities Docket on April 19, 2019, 9:06 am

On March 28, 2019, amidst much fanfare, the rideshare company Lyft went public at $72 a share, raising more than $2.2 billion.  In the first trading day following the offering, the company’s share price rose 8.7 percent. However, despite the initial euphoria, Lyft’s share price then began to slump. Lyft shares closed at $58.36 on […]

Posted in , | Tagged ,

In SEC vs. Elon Musk, a Question of When Tweets Matter – WSJ

By Securities Docket on April 17, 2019, 10:48 am

The outcome of the negotiations, which face a Thursday deadline, could alter the unique punishment Mr. Musk agreed to in the settlement with the Securities and Exchange Commission, which had alleged the Tesla chief executive misled investors with tweets saying he had funding in place to take the car maker private. “They want the remedy […]

Posted in , | Tagged

The Supreme Court Hands the S.E.C. a Rare Win – The New York Times

By Securities Docket on April 17, 2019, 10:14 am

The Securities and Exchange Commission’s record in the Supreme Court has not been strong the past few years. The court limited the period during which the agency can pursue a fraud claim and required a case seeking disgorgement be filed within five years of the violation. But the justices handed the S.E.C. a significant victory […]

Posted in , | Tagged

Japan to require crypto exchanges to bolster internal oversight: source | News | The Mighty 790 KFGO

By Securities Docket on April 17, 2019, 10:08 am

Japan’s financial regulator will require cryptocurrency exchanges to strengthen internal oversight of the so-called “cold wallets” used to store digital money, a source with direct knowledge of the matter told Reuters on Tuesday. The move by the Financial Services Agency (FSA) highlights the difficulties in ensuring security of virtual currencies, as well as the broader […]

Posted in , | Tagged ,

SEC’s Lone Democratic Member Expected to Step Down in Fall – WSJ

By Securities Docket on April 17, 2019, 10:07 am

The only Democratic member of the Securities and Exchange Commission is expected to leave government later this year, paving the way for a more conservative tilt on some regulatory decisions. Robert Jackson Jr. is expected to join New York University Law School for the fall semester, according to a university spokesman and an email from […]

Posted in , | Tagged

The SEC’s budget shows just how outgunned it is | TheHill

By Securities Docket on April 15, 2019, 6:43 pm

The trick is, rather than getting mired in the weeds, one should review four top-line numbers provided by the reports. To wit, the executive summary of the 2020 budget appropriations document says the agency expects to oversee $97 trillion in securities trading, a 29-percent jump from the $75 trillion it saw supervising in 2019. By […]

Posted in , | Tagged

A Lens into SEC Enforcement | Middle Market Growth

By Securities Docket on April 12, 2019, 8:37 am

The report demonstrates how these principles led to the SEC’s primary focus on protecting Main Street investors from bad actors and fraudulent conduct in 2018. The report also imparts another important message from the co-directors of the SEC’s enforcement division: Success should not be solely measured by the sheer number of cases brought or the […]

Posted in , | Tagged

The SEC v. Mark Cuban

By Securities Docket on April 11, 2019, 12:43 pm

…. The SEC’s case against Cuban raises questions focusing on the scope of this nation’s insider trading laws, the strategic litigation decisions made, the significant costs of defending one’s good reputation, and the proper limits of governmental prosecutorial discretion. via The SEC v. Mark Cuban.

Posted in , | Tagged

Departing SDNY Criminal Chief Heading to Debevoise | New York Law Journal

By Securities Docket on April 9, 2019, 7:42 am

The former chief of the criminal division at the U.S. Attorney’s Office in the Southern District of New York is set to join Debevoise & Plimpton, where she will join several former colleagues from the top ranks of U.S. law enforcement in the firm’s white-collar defense and investigations practice. Lisa Zornberg, who was revealed in January to […]

Posted in , , | Tagged ,

Judge orders Elon Musk to put ‘reasonableness pants’ on, settle SEC claims

By Securities Docket on April 5, 2019, 9:58 am

“Tesla still appears unwilling to exercise any meaningful control over its CEO,” SEC lawyer Cheryl Crumpton told the judge Thursday. “He is regularly tweeting about communications that could be material and blowing past the approval process.” But judge declined to spank Musk — choosing instead to order the Tesla CEO and the SEC to work […]

Posted in , | Tagged

Criminal

Global

People

SEC

‘Enforcement 40′ for 2017

ENf 40 230 column
Securities-Docket_Medium-Rectangle_CaseStudyArrow

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives