Seeking Nominations for Securities Docket’s Inaugural ‘Enforcement Hall of Fame’ Class

Seeking Nominations for Securities Docket’s Inaugural ‘Enforcement Hall of Fame’ Class

By Securities Docket on July 30, 2014, 9:24 am

Securities Docket welcomes your nominations for our inaugural “Enforcement Hall of Fame” class – for extraordinary contributions to the field of securities enforcement over a lifetime.

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The Supreme Court’s Janus Decision After Three Years: Impact on Private, SEC and DOJ Cases

The Supreme Court’s Janus Decision After Three Years: Impact on Private, SEC and DOJ Cases

By Securities Docket on July 23, 2014, 10:40 am

Please join Patrick F. Linehan and John Rizio-Hamilton for this free webcast

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Photos and Highlights from West Coast SEC Directors Roundtable

Photos and Highlights from West Coast SEC Directors Roundtable

By Securities Docket on May 16, 2014, 7:53 am

Photos and highlights from Securities Docket’s West Coast SEC Directors Roundtable.

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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.

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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!

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Fairfax’s Prem Watsa faces probe from Quebec regulator over insider trading – Brandon Sun

By Securities Docket on August 1, 2014, 1:05 pm

Billionaire investor Prem Watsa is facing an investigation by Quebec’s securities regulator over possible insider trading or tipping. Fairfax Financial disclosed the information in filings for its latest financial results. The investigation involves Watsa, who owns the investment firm, and the company’s president Paul Rivett. via Fairfax’s Prem Watsa faces probe from Quebec regulator over [...]

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SEC Awards $400,000 to Whistleblower After Company Fails to Address Internal Reports of Fraud | Compliance Week

By Securities Docket on July 31, 2014, 3:47 pm

Today, the SEC announced a whistleblower award that may, for two reasons, resonate with potential tipsters and companies that might be reluctant to take decisive action to look into fraud that is reported internally. via SEC Awards $400,000 to Whistleblower After Company Fails to Address Internal Reports of Fraud | Compliance Week

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Hedge Funds and Material Nonpublic Information — The Harvard Law School Forum on Corp. Gov. and Financial Regulation

By Securities Docket on July 31, 2014, 9:48 am

We discuss below what remote tippees, which may involve hedge funds and other investment firms that are often several steps removed from the original source of the information, would need to know for liability to arise. Along the way, we touch on the other elements relevant to liability as well—fraud, duty, breach, and personal benefit. [...]

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Stacking the Deck: SEC’s Use of Administrative Proceedings | Corruption, Crime & Compliance

By Securities Docket on July 30, 2014, 2:45 pm

The SEC has a real perception problem. They cannot win in court. Whether this is fair or not, the SEC needs to move beyond this fear of losing since it only undermines the integrity of its enforcement program. via Stacking the Deck: SEC’s Use of Administrative Proceedings | Corruption, Crime & Compliance

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FOIA Response Sheds Light on Backgrounds of SEC Whistleblowers | Compliance Week

By Securities Docket on July 29, 2014, 3:56 pm

Since mid-2011, the SEC’s Office of the Whistleblower has been taking in tips about alleged securities fraud. Via a recent request made under the Freedom of Information Act, the WSJ set out to answer an interesting question: from what fields and professions do these whistleblowers come from? Based on the 3,600 whistleblowers to date who listed [...]

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Regulator Wants Monitors in Deutsche Bank, Barclays U.S. Offices as Part of FX Probe – WSJ

By Securities Docket on July 29, 2014, 3:06 pm

New York’s banking regulator is pushing to install government monitors inside the U.S. offices of Deutsche Bank and Barclays PLC as part of an intensifying investigation into possible manipulation in the foreign-exchange market, according to people familiar with the probe. via Regulator Wants Monitors in Deutsche Bank, Barclays U.S. Offices as Part of FX Probe [...]

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Elizabeth Sacksteder Joins Paul, Weiss in New York

Elizabeth Sacksteder Joins Paul, Weiss in New York

By Securities Docket on July 28, 2014, 1:11 pm

Citigroup’s Deputy General Counsel Liz Sacksteder joins Paul, Weiss in New York.

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More FCPA Cases in Pipeline, Brockmeyer Says; Some Administrative — Bloomberg BNA

By Securities Docket on July 26, 2014, 11:51 am

The Securities and Exchange Commission has a number of Foreign Corrupt Practices Act cases in the pipeline, Kara Brockmeyer, chief of the SEC Enforcement Division’s FCPA unit, said July 10. In an interview, she told Bloomberg BNA that some of these cases “absolutely” will be brought in the agency’s administrative forum. Cases will include individuals, [...]

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Madoff Five Face Sentencing as U.S. Calls Denials Galling – Businessweek

By Securities Docket on July 25, 2014, 10:21 am

The three men and two women, who worked for Madoff for decades, deserve “significantly harsher” terms than the eight to 20 years recommended by the U.S. Probation Office, the government said in court filings this month. The defendants seek leniency, arguing jurors were misled by overzealous prosecutors. via Madoff Five Face Sentencing as U.S. Calls [...]

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As bribery case continues, CalPERS reaps profits from tainted investments — Sac Bee

By Securities Docket on July 25, 2014, 10:20 am

It’s been one of the darkest chapters in CalPERS history, a bribery scandal that prompted a guilty plea from its former chief executive earlier this month. It’s also been rather profitable. America’s largest public pension fund has racked up sizable gains from investments brokered by Alfred Villalobos, the Nevada businessman accused of bribing top CalPERS officials…. [...]

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