April 26 Webcast: Securities Regulation of Digital Assets

April 26 Webcast: Securities Regulation of Digital Assets

By Securities Docket on April 6, 2018, 8:02 am

Please join Alma Angotti, Gino Soave, Martine Beamon and Jai Massari for this free webcast.

Full Story »

Posted in , , | Tagged , ,

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.

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

SEC Lawyer Scott Friestad, Bedridden With Cancer, Kept Working Until His Final Days – WSJ

By Securities Docket on April 20, 2018, 2:52 pm

The SEC is often a temporary stop for lawyers who then go into private practice, frequently to defend corporations from the agency. Mr. Friestad, an Iowa native, stayed for 23 years. Colleagues said he relished the work and was a widely admired mentor. “He didn’t pound the table and try to get the highest penalty; […]

Posted in , | Tagged

SEC Adds Fuel to the Best-Interest Fire

By Securities Docket on April 20, 2018, 9:18 am

This is potentially a major change to how the SEC thinks about regulating the conduct of financial advisors. The rule aims to hold financial professionals to higher standards of conduct, even if they are registered as broker/dealers rather than as advisers. Although the SEC has had the authority to write these kinds of regulations since […]

Posted in , | Tagged

FINRA Enforcement: New Direction for the Regulator – Lexology

By Securities Docket on April 20, 2018, 9:12 am

The guidance Schroeder conveyed, if acted on, can potentially save firms and individuals a lot of stress, anxiety, money (especially in fines) and reputational damage. Does that mean there will be no more enforcement actions? Of course not. What it does mean is that the leaders of this enforcement program and of FINRA have staked […]

Posted in , | Tagged

Tampa executive sentenced to house confinement in insider trading case

By Securities Docket on April 19, 2018, 11:03 am

Andrew Berke of Apollo Beach has been sentenced to four months of house confinement and three years of supervised release in an insider trading scheme in which his co-defendant, Tampa lawyer Walter C. Little, will soon begin serving 27 months in federal prison. via Tampa executive sentenced to house confinement in insider trading case.

Posted in , | Tagged ,

Germany watchdog investigating Volkswagen shares in run-up to CEO change: Reuters

By Securities Docket on April 17, 2018, 5:24 pm

The German financial markets watchdog is investigating trading in Volkswagen shares before the announcement of a new chief executive, a German magazine reported on Tuesday. via Germany watchdog investigating Volkswagen shares in run-up to CEO change: Reuters

Posted in , | Tagged ,

Uncertainty around SFO’s future “is over”, says departing director David Green | City A.M.

By Securities Docket on April 17, 2018, 2:04 pm

The outgoing director of the Serious Fraud Office (SFO) has said the uncertainty surrounding its future is “over”, as he prepares to hand over the reins after six years in the job. In an exit interview with City A.M., David Green said he was convinced by the assurances of home secretary Amber Rudd that the […]

Posted in , | Tagged ,

April 24 Webcast: The First 48 Hours — Progressive Incident Response Strategies Following a Cyber Incident

By Securities Docket on April 14, 2018, 10:35 am

This webcast analyzes the first 48 hours following a cybersecurity incident, and lays out incident response strategies that facilitate critical decision making and enable victim companies to rapidly recover. April 24 Webcast: The First 48 Hours — Progressive Incident Response Strategies Following a Cyber Incident

Posted in , | Tagged

Victims of Bernard Madoff’s Ponzi Scheme to Receive Millions More – The New York Times

By Securities Docket on April 13, 2018, 7:41 am

Victims of Bernard L. Madoff, the architect of one of Wall Street’s largest frauds, will receive another $504 million, proceeds from assets that the government seized after Mr. Madoff’s financial firm collapsed a decade ago. With this distribution, the second in a series of payouts, about 21,000 victims will have received a total of more […]

Posted in , , | Tagged

SeaWorld faces possible securities sanctions – The San Diego Union-Tribune

By Securities Docket on April 13, 2018, 7:21 am

SeaWorld has been under investigation by both the SEC and Department of Justice for executives’ disclosures and public statements in August 2014 and earlier about the impact of the anti-captivity “Blackfish” documentary and trading in the company’s securities. SeaWorld also is facing litigation accusing it of misleading shareholders about how the film contributed to falling […]

Posted in , | Tagged

$7 Billion Hasn’t Moved The Needle on Financial Crime: Gadfly – The Washington Post

By Securities Docket on April 12, 2018, 7:23 am

The bigger picture is less encouraging. Despite a cascade of rules, regulations and record-breaking fines, that spending — an additional 5 billion pounds ($7 billion) a year in the U.K. alone — has barely moved the needle. Gauging success in this area may not be an exact science, but if catching dirty money is a […]

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