May 1 Webcast: Cybersecurity and Financial Firms — Bracing for the Regulatory Onslaught

May 1 Webcast: Cybersecurity and Financial Firms — Bracing for the Regulatory Onslaught

By Securities Docket on April 18, 2014, 6:11 pm

Please join John Stark and Bradley Bondi for this free webcast.

Full Story »

Posted in , | Tagged , | Leave a response

Just 20 Days Until the West Coast SEC Directors Roundtable — Register Now!

Just 20 Days Until the West Coast SEC Directors Roundtable — Register Now!

By Securities Docket on April 18, 2014, 8:50 am

Please join us May 8, 2014 in San Francisco for the West Coast SEC Directors Roundtable!

Full Story »

Posted in , , | Tagged , | Leave a response

Introducing Cybersecurity Docket!

Introducing Cybersecurity Docket!

By Securities Docket on April 9, 2014, 8:41 am

Please visit our new sister publication, Cybersecurity Docket!

Full Story »

Posted in , , | Tagged | Leave a response

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.

Full Story »

Posted in | Tagged | Leave a response

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.

Full Story »

Posted in , | 1 Response

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!

Full Story »

Posted in , , , | Tagged , | Leave a response

Previous Pause Next
Joseph Boryshansky Joins Akin Gump in New York

Joseph Boryshansky Joins Akin Gump in New York

By Securities Docket on April 23, 2014, 8:50 am

Joseph Boryshansky rejoins Akin Gump from SEC.

Posted in , | Tagged | Leave a response

Advisen Releases First Quarter 2014 Corporate and Securities Litigation Report — The D&O Diary

By Securities Docket on April 23, 2014, 8:38 am

Overall Filings of corporate and securities lawsuits during the first quarter of 2014 were at their lowest levels since before the financial crisis, according to the latest report from Advisen, the insurance information firm…. via Advisen Releases First Quarter 2014 Corporate and Securities Litigation Report — The D&O Diary

Posted in , | Tagged | Leave a response

SECFAIL? Not This Time, as Toby Scammell Pleads Guilty to Insider Trading – Compliance Week

By Securities Docket on April 22, 2014, 12:02 pm

The unusual Toby Scammell insider trading saga ended yesterday when Scammell finally pleaded guilty to securities fraud that involved him making $192,000 by trading on inside information. via SECFAIL? Not This Time, as Toby Scammell Pleads Guilty to Insider Trading – Compliance Week

Posted in , , | Tagged , | Leave a response

Institutional investors step off sidelines to sue BP for fraud — Alison Frankel, On the Case

By Securities Docket on April 22, 2014, 8:46 am

A spate of U.S. pension funds, including Bank of America’s private pension plan and funds for public workers in Maryland, Louisiana and Texas, filed suits Friday accusing BP of defrauding investors in its statements about the Deepwater Horizon oil spill in April 2010. Piling on just ahead of the statute of limitations, several foreign institutions, [...]

Posted in , | Tagged , | Leave a response

Prosecutors’ Long Winning Streak on Insider Trading Could Soon Be Over – Businessweek

By Securities Docket on April 21, 2014, 10:51 am

The U.S. Court of Appeals for the Second Circuit will hear arguments in a case that is being closely watched—and fretted over—by investigators involved in the government’s historic string of insider trading prosecutions. Two convicted hedge fund portfolio managers are arguing that what the government accused them of doing isn’t actually illegal, and the appeals [...]

Posted in , , | Tagged , | Leave a response

Why is it Tough to Catch Insider Trading in India? – India Real Time – WSJ

By Securities Docket on April 21, 2014, 10:50 am

While insider trading is tough to detect and prove in any country, in India it seems to be particularly rampant because regulators just don’t have the tools to keep it in check, said J.N. Gupta, a former director of the Securities and Exchange Board of India. “All the participants, including regulatory bodies, are aware that [...]

Posted in , | Tagged , | Leave a response

Flash Boys Litigation: High Frequency Traders, Brokers and Securities Exchanges Hit With Securities Suit — The D&O Diary

By Securities Docket on April 21, 2014, 8:05 am

The topic of high frequency trading has dominated the business headlines since the late March publication of Michael Lewis’s new book, “Flash Boys: A Wall Street Revolt.”  The SEC, the U.S. Department of Justice and the Federal Bureau of Investigation have confirmed that they are investigating high frequency trading, as has the New York Attorney [...]

Posted in , | Tagged | Leave a response

Court Case May Help Define ‘Insider Trading’ – WSJ.com

By Securities Docket on April 21, 2014, 8:01 am

At issue in the appeal is whether, to be considered to have traded on confidential material information, a trader must have known the tip had been illegally disclosed in exchange for a reward. The appeal is being pursued by Todd Newman and Anthony Chiasson, two portfolio managers whose 2012 insider-trading convictions were a significant victory [...]

Posted in , | Tagged , | Leave a response

SEC to Launch Cybersecurity Exams of Investment Firms, Offers Sample Document Requests – Compliance Week

By Securities Docket on April 18, 2014, 12:29 pm

On April 15, 2013, the SEC’s Office of Compliance Inspections and Examinations quietly disclosed its examination module pertaining to cybersecurity. The disclosure came in the form of a Risk Alert which noted that OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers. via SEC to Launch Cybersecurity Exams of [...]

Posted in , | Tagged , | Leave a response

SEC’s David Gottesman Named Deputy Chief Litigation Counsel – Compliance Week

By Securities Docket on April 18, 2014, 10:23 am

The SEC announced this week that David J. Gottesman has been named Deputy Chief Litigation Counsel in the Division of Enforcement. Gottesman joined the SEC in 2004 and was first promoted to a supervisory role in the trial unit in 2011. via SEC’s David Gottesman Named Deputy Chief Litigation Counsel – Compliance Week

Posted in , , | Tagged , | Leave a response

Criminal

Global

People

SEC

Webcasts

A BrightTALK Channel

Our Sponsors

Now On Securities Docket

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives