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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Isn’t It Ironic? Litigation Funding Firm Hit With Securities Suit | The D&O Diary

By Securities Docket on August 23, 2019, 9:41 am

In a development that some may find more than a little bit ironic, U.K.-based litigation finance firm Burford Capital has been hit with a securities class action lawsuit following a drop in its share price after a short seller published a report questioning the company’s financial reporting. Burford has denied the short seller’s allegations and […]

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SEC Charges TherapeuticsMD With Regulation FD Violations

By Securities Docket on August 21, 2019, 10:17 am

The Securities and Exchange Commission today charged TherapeuticsMD Inc., a pharmaceutical company headquartered in Boca Raton, Florida, with violations of Regulation FD based on its sharing of material, nonpublic information with sell-side research analysts without also disclosing the same information to the public. The SEC’s order finds that on two separate occasions in 2017, TherapeuticsMD […]

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Davis Polk Welcomes SEC Enforcement Partner Robert Cohen in Washington | News | Davis Polk & Wardwell LLP

By Securities Docket on August 20, 2019, 1:45 pm

Davis Polk today announced that Robert Cohen will join the firm as a partner in the Litigation Department in Washington DC. Mr. Cohen will be a member of the firm’s White Collar Criminal Defense and Government Investigations Group, where he will focus on representing companies and boards in regulatory matters and internal investigations. He joins […]

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After 36 years at Richards, Layton & Finger, Greg Varallo makes a move – DBT

By Securities Docket on August 20, 2019, 9:43 am

It’s never too late for a second act. Gregory Varallo, an attorney with Richards, Layton & Finger for nearly four decades, has made a late-career leap into a new firm. His three-year term as president of RLF, which is Delaware’s largest law firm, ended June 30. Now he’s taking over the Wilmington office of investor-side […]

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Government Cryptocurrency Cop Heads to Law Firm – WSJ

By Securities Docket on August 20, 2019, 9:16 am

The former government lawyer who managed Washington’s crackdown on cryptocurrency fraud is joining Davis Polk & Wardwell LLP, a white-shoe law firm whose clients include some of Wall Street’s biggest banks and stock exchanges. Robert Cohen, 47 years old, will become a partner at the firm in October. He spent 15 years at the Securities […]

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Harry Markopolos says he can’t reveal the hedge fund he’s working for

By Securities Docket on August 16, 2019, 10:34 am

Madoff whistleblower Harry Markopolos is probing GE on behalf of a hedge fund — but he won’t say which one. “I can’t — I promised confidentiality,” Markopolos told CNBC’s “Squawk on the Street ” Thursday. “It’s a mid-sized, U.S. based hedge fund.” Markopolos said it was “their request,” not his, and that he was getting […]

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GE Is New Target of Madoff Whistleblower – WSJ

By Securities Docket on August 15, 2019, 9:48 am

An accounting expert who raised red flags about Bernie Madoff ’s Ponzi scheme has a new target: General Electric Co. In a research report posted online Thursday, Harry Markopolos alleges the struggling conglomerate has masked the depths of its problems, resulting in inaccurate and fraudulent financial filings with regulators. The report, which numbers more than […]

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SEC Wins Jury Trial Against Broker Charged with Insider Trading

By Securities Docket on August 15, 2019, 8:49 am

Today, jurors in Atlanta federal court returned a verdict finding New Jersey securities broker Raymond J. Pirrello, Jr. liable for insider trading in advance of three merger and acquisition transactions. via SEC Wins Jury Trial Against Broker Charged with Insider Trading.

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RBC junior analyst charged with insider trading, a year out of business school | Financial Post

By Securities Docket on August 13, 2019, 10:07 am

U.S. prosecutors on Monday criminally charged a junior analyst at RBC Capital Markets with insider trading, saying he bought options in a digital printing company after learning it was in talks to be acquired by an RBC client. Bill Tsai, 23, who graduated last year from New York University’s Stern School of Business, was charged […]

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How effective is the SFO really? | ICAEW Economia

By Securities Docket on August 11, 2019, 10:28 am

However, the report itself appears ambivalent about whether those aspirations are compatible with, or in opposition to, each other. Its summary of findings says that the SFO is facing clear challenges, identifying the central one as being that the organisation’s “sharp focus on delivery of casework” has “driven a culture of delivery which has, in […]

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