June 28 Webcast: The Bribery Act, Chapter 7 — The Amercanisation of UK Corporate Crime

June 28 Webcast: The Bribery Act, Chapter 7 — The Amercanisation of UK Corporate Crime

By Securities Docket on June 19, 2018, 1:53 pm

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

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June 27 Webcast: Financial Statements 101 — Emerging Trends and Accounting Principles for Lawyers

June 27 Webcast: Financial Statements 101 — Emerging Trends and Accounting Principles for Lawyers

By Securities Docket on June 7, 2018, 7:44 am

Please join Jeff Litvak and Jason Tolmaire for this free webcast.

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Highlights from Securities Enforcement Forum 2017

Highlights from Securities Enforcement Forum 2017

By Securities Docket on November 16, 2017, 6:26 pm

Photos and highlights from Securities Enforcement Forum 2017.

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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 Probes Whether Companies Rounded Up Earnings Per Share – WSJ

By Securities Docket on June 22, 2018, 6:09 pm

Federal regulators are investigating the case of the missing “4,” exploring the numeral’s conspicuous absence in quarterly reports that could mean companies have improperly rounded up their earnings per share to the next highest cent, according to people familiar with the matter. Enforcement officials at the Securities and Exchange Commission have sent queries to at […]

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Supreme Court Holds SEC’s Past Hiring of Administrative Judges Unconstitutional | Ropes & Gray LLP

By Securities Docket on June 22, 2018, 8:57 am

On Thursday, the Supreme Court issued a decision in Lucia v. SEC, Dkt. No. 17–130, holding that the SEC’s previous practice in hiring administrative law judges (“ALJs”) was unconstitutional—calling into question the validity of the proceedings and holdings of SEC ALJs that decide the vast majority of contested SEC enforcement actions. With this decision, the […]

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An Insider-Trading Hypothetical for Wilbur Ross – Bloomberg

By Securities Docket on June 21, 2018, 8:57 am

We talked yesterday about reports—which he has denied—that Commerce Secretary Wilbur Ross shorted the stock of a company after reporters called him up to ask him about it; when their story about the company’s allegedly shady activities and ties to Ross came out, the stock dropped and Ross (the story goes) made a profit. Again, it seems according […]

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SEC Unveils Enforcement Goals in Strategic Plan Draft | Institutional Investor

By Securities Docket on June 20, 2018, 4:07 pm

The SEC also said it would center its enforcement activities on addressing misconduct that impacts retail investors, including areas like securities custody and penny stock trading. Such a move would mark a shift from the previous enforcement regime: Under former SEC chair Mary Jo White, the regulator had paid close attention to issues impacting institutional […]

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Jailed Ex-Perella Banker May Be Freed in Insider-Trading Appeal – Bloomberg

By Securities Docket on June 20, 2018, 11:22 am

A former Perella Weinberg Partners LP banker convicted of tipping his father to five health-care mergers may be the latest insider-trader to win his freedom, as another case threatens to fall apart on appeal. In an unusual request that signals the court may have decided to overturn all or part of Sean Stewart’s conviction, a […]

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South Korea crypto exchange Bithumb says it was hacked, coins stolen

By Securities Docket on June 20, 2018, 10:29 am

South Korea-based cryptocurrency exchange Bithumb said Wednesday it was temporarily suspending deposit and withdrawal services after about $30 million worth of cryptocurrency was stolen. The Seoul-based operator said on Twitter that the stolen coins would be covered from Bithumb’s own reserves and that all users’ assets are being transferred to safer “cold wallet.” via South […]

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Improving the SEC’s Enforcement Program: A Ten-Point Blueprint for Reform — Center for Financial Stability

By Securities Docket on June 20, 2018, 9:56 am

  With the transition to a new Commission, the SEC should take the opportunity to review, evaluate and improve its enforcement program. In light of the SEC’s mission to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation, the SEC should take steps to ensure it is allocating resources properly, striking an […]

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SEC commissioner scolds CEOs who sell stock during company buybacks

By Securities Docket on June 19, 2018, 12:48 pm

“That’s not necessarily insider trading or fraud. But it is troubling because when an executive does a buyback they’re suggesting to the market the stock is cheap. I’m asking if the stock is cheap then why is the executive selling into the buyback,” Jackson told CNBC’s “Squawk Box” on Tuesday. He did not name any […]

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Daniel J. Wadley Named as Regional Director of Salt Lake Office

By Securities Docket on June 19, 2018, 12:39 pm

The Securities and Exchange Commission today named Daniel J. Wadley as Regional Director of its Salt Lake office.  Mr. Wadley succeeds Richard R. Best, whom the agency named Regional Director of its Atlanta office in January. via SEC.gov | Daniel J. Wadley Named as Regional Director of Salt Lake Office.

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What’s Next for Elizabeth Holmes in the Theranos Fraud Case? – The New York Times

By Securities Docket on June 19, 2018, 12:37 pm

If Ms. Holmes and Mr. Balwani do not plead guilty, the question at a trial will be whether the two defendants were brazen liars, as the government will argue, or whether they were just as deluded as everyone else by Ms. Holmes’s vision of disrupting the health care industry. via What’s Next for Elizabeth Holmes […]

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