Dec. 18 Webcast: Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions (2019 Update)

Dec. 18 Webcast: Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions (2019 Update)

By Securities Docket on December 5, 2019, 6:38 pm

Please join F. Joseph Warin, John W.F. Chesley, Sean X. McKessy and Jim Barratt for this free webcast.

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Dec. 10 Webcast: SEC Enforcement — Current Developments and What’s Ahead for 2020

Dec. 10 Webcast: SEC Enforcement — Current Developments and What’s Ahead for 2020

By Securities Docket on November 14, 2019, 10:59 am

Please join Bill McLucas, Doug Davison and Marty Wilczynski for this free webcast.

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Guest Column — Snapshot of a Cleaner Street: Another Landmark Year for Securities Enforcement

Guest Column — Snapshot of a Cleaner Street: Another Landmark Year for Securities Enforcement

By Securities Docket on November 13, 2019, 11:57 am

Guest columnist Jordan Thomas breaks down the recently-released 2019 Annual Report of the SEC’s Division of Enforcement.

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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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Cyan Compels Remand of Previously Removed State Court Securities Suits | The D&O Diary

By Securities Docket on December 9, 2019, 10:26 am

In prior posts, I have detailed the havoc that the U.S. Supreme Court’s March 2018 decision in the Cyan case has wrought, as Securities Act liability class action defendants find themselves facing multiple parallel suits in both federal and state court. A recent ruling in a consolidated federal court action involving the failed Miller Energy […]

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SEC Charges Multinational Telecommunications Company With FCPA Violations

By Securities Docket on December 9, 2019, 10:00 am

The Securities and Exchange Commission today announced that Sweden-based Telefonaktiebolaget LM Ericsson was charged with engaging in a large-scale bribery scheme involving the use of sham consultants to secretly funnel money to government officials in multiple countries. The bribes netted Ericsson hundreds of millions in profits. To resolve these alleged violations of the Foreign Corrupt Practice […]

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House Passes Bill Establishing a Clear Definition of Insider Trading – WSJ

By Securities Docket on December 5, 2019, 7:58 pm

The House bill aims to establish a legal foundation that is less susceptible to change. It doesn’t require prosecutors to prove that a defendant knew how a piece of inside information was obtained or whether there was a personal benefit paid to anyone in the chain of communication. Instead, the recipient or provider of an […]

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SEC Charges Trucking Executives With Accounting Fraud

By Securities Docket on December 5, 2019, 5:49 pm

The SEC’s complaint against former Celadon president and chief operating officer William Eric Meek and former chief financial officer Bobby Peavler alleges that they sought to conceal losses by engaging in a scheme to buy and sell trucks at inflated prices, in some cases double or triple their fair market value. The complaint alleges that as a result […]

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SEC Charges Iconix Brand Group and Former Top Executives With Accounting Fraud

By Securities Docket on December 5, 2019, 3:18 pm

The SEC’s complaint against former Iconix CEO Neil Cole and former Chief Operating Officer Seth Horowitz alleges that Cole and Horowitz devised a fraudulent scheme to create fictitious revenue, allowing Iconix to meet or beat Wall Street analysts’ consensus estimates in the second and third quarters of 2014. According to the complaint, Cole and Horowitz […]

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Greenberg Traurig Expands Miami White Collar Practice with Former U.S. Attorney Benjamin Greenberg

By Securities Docket on December 5, 2019, 9:23 am

Global law firm Greenberg Traurig, P.A. has expanded its Miami office White Collar Defense & Special Investigations Practice and Litigation Practice with the addition of Benjamin G. Greenberg, a former U.S. Attorney for the Southern District of Florida. Greenberg spent nearly 20 years with the U.S. Attorney’s office, and most recently served in the role […]

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Ex-investment banker sentenced to 2 years in prison – The Washington Post

By Securities Docket on December 4, 2019, 9:17 am

A former investment banker sentenced to two years in prison Tuesday for insider trading says fledging companies looking for advice still trust him with their secrets. Sean Stewart made the comment before U.S. District Judge Jed Rakoff announced the sentence in Manhattan. The Yale-educated Stewart had already served over a year of a three-year prison […]

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Say it ain’t so, Broc. Say it ain’t so!

By Securities Docket on December 3, 2019, 3:09 pm

Thank you, Broc, for all you have done for my career and being a good friend over the years. I will miss what you brought to the corporate securities and governance community day-in and day-out. You left it all on the field. Say it ain’t so, Broc. Say it ain’t so!.

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Former CFTC chair takes fintech role at New York law firm – Reuters

By Securities Docket on December 3, 2019, 8:40 am

Chris Giancarlo, who was chair of the U.S. Commodity Futures Trading Commission (CFTC) until July, has been named senior counsel to New York-headquartered law firm Willkie Farr & Gallagher, the company said in a statement on Monday. Giancarlo was chair of the CFTC, the world’s leading derivatives regulator, from August 2017 to July this year […]

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Kristina Littman Named Chief of the Cyber Unit

By Securities Docket on December 2, 2019, 5:07 pm

The Securities and Exchange Commission today announced that Kristina Littman has been named Chief of the Division of Enforcement’s Cyber Unit, a national, specialized unit that focuses on protecting investors and markets from cyber-related misconduct.  Ms. Littman succeeds Robert Cohen, who left the Commission in August 2019. Ms. Littman joined the SEC’s Division of Enforcement […]

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