Dec. 3 Webcast: What Should Crypto Funds Expect From The SEC Going Forward?

Dec. 3 Webcast: What Should Crypto Funds Expect From The SEC Going Forward?

By Securities Docket on November 13, 2018, 9:28 pm

Please join Boris Richard, Jeff Bandman, Ivana Rouse and Peter Altman for this free webcast.

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Oct. 17 Webcast: Corporate Board Oversight of Cybersecurity — A Blueprint for Success

Oct. 17 Webcast: Corporate Board Oversight of Cybersecurity — A Blueprint for Success

By Securities Docket on September 26, 2018, 11:40 am

Please join John Reed Stark and David Fontaine for this free webcast.

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June 28 Webcast: The Bribery Act, Chapter 7 — The Americanisation of UK Corporate Crime

June 28 Webcast: The Bribery Act, Chapter 7 — The Americanisation of UK Corporate Crime

By Securities Docket on June 19, 2018, 1:53 pm

Please join Vivian Robinson QC, Barry Vitou, Richard Kovalevsky QC and Julian Glass for this free webcast.

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June 29 Webcast: Financial Statements 101 — Emerging Trends and Accounting Principles for Lawyers

June 29 Webcast: Financial Statements 101 — Emerging Trends and Accounting Principles for Lawyers

By Securities Docket on June 7, 2018, 7:44 am

Please join Jeff Litvak and Jason Tolmaire for this free webcast.

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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.

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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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Scam used fake SEC letters to bilk victims, FBI says – New Jersey Herald -

By Securities Docket on December 15, 2018, 1:05 pm

Some victims received emails featuring the SEC seal that offered them the chance to pay a fee to receive part of a legal settlement. Others were notified they were a defendant in a lawsuit and could pay a fee to avoid appearing in court. via Scam used fake SEC letters to bilk victims, FBI says […]

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Securities Lawsuit Filed Based on Reports of Alleged Inappropriate Office Relationship | The D&O Diary

By Securities Docket on December 14, 2018, 10:43 am

In several recent conversations, I have been asked whether I thought that the whole #MeToo movement might have more or less played out, and that we might not be seeing as many, or even any, more D&O claims based on underlying allegations of sexual misconduct. In response, I said that I didn’t think the phenomenon […]

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UK jury fails to reach verdict in insider trading case | Financial Times

By Securities Docket on December 14, 2018, 10:41 am

The jury at London’s Southwark Crown Court was split in its deliberations over Fabiana Abdel-Malek, 36, and her friend, Walid Choucair, 39, whom the UK financial watchdog accused of five charges each in the first major case of insider trading to reach court in over two years. via UK jury fails to reach verdict in […]

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Former $1M+ Allen & Overy Partner Gets Trump Nod to Lead Commodities Agency | National Law Journal

By Securities Docket on December 13, 2018, 8:41 am

A former top Allen & Overy regulatory partner who had represented some of the world’s largest banks and financial institutions is the Trump administration’s nominee to lead the U.S. Commodity Futures Trading Commission. Heath Tarbert, who joined Allen & Overy in 2014, had been the head of the U.S. bank regulatory group and a leader […]

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Department of Justice Announces Important Revisions to the Yates Memo | Drinker Biddle

By Securities Docket on December 13, 2018, 8:40 am

While reiterating that pursuing individuals who are responsible for corporate wrongdoing will remain a top priority for DOJ, the revised policy scales back the level of disclosure required by companies who are the targets of criminal investigations. Specifically, under the revised policy, companies are no longer required to expend time and resources identifying and collecting […]

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Five Hidden Takeaways from the Khaled and Mayweather SEC Orders | LinkedIn

By Securities Docket on December 12, 2018, 3:59 pm

Never in the history of U.S. securities regulation has there been more distortion, spin and deception than in the crazy, mixed-up world of initial coin offerings (ICOs). Imagine an entire industry rising up where just about everything related to that industry is blatantly unlawful and often flat-out fraudulent. That is the nature of the ICO space and […]

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SEC Enforcement Activity Against Public Companies Surges in FY 2018’s Second Half | The D&O Diary

By Securities Docket on December 12, 2018, 8:33 am

In November, when the SEC released its annual enforcement activity report, the report showed that during the fiscal year that ended on September 30, 2018 both the volume of the agency’s enforcement activity and the level of financial recoveries increased compared to the prior fiscal year. The agency’s report did not separate out its enforcement […]

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Can a Plaintiff Re-Label and Re-File a Securities Fraud Claim? | K&L Gates LLP – JDSupra

By Securities Docket on December 11, 2018, 8:30 am

With its December 3, 2018, argument in Lorenzo v. Securities and Exchange Commission, the U.S. Supreme Court is now poised to resolve an issue at the intersection of these two prohibitions: may a securities fraud claim proceed under a “scheme liability” theory if the only alleged misconduct is fraudulent misstatements that the defendant himself never […]

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Can Hester Peirce Refocus The SEC On Its Real Job?

By Securities Docket on December 10, 2018, 5:09 pm

A closer look at Peirce’s public activities since she became Commissioner in January suggests that her opinion on this specific issue isn’t just a one-off. To the contrary, it reflects a larger deregulatory sensibility that has gladdened financial institutions and investors alike. For example, in those same remarks, Peirce warned the Commission against focusing on […]

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Williams & Connolly Chair Dane Butswinkas Is Named Tesla General Counsel | National Law Journal

By Securities Docket on December 10, 2018, 8:53 am

Dane Butswinkas, the Washington-based trial lawyer and chairman of Williams & Connolly, will become the next general counsel to Tesla Inc, arriving as the company attempts to climb out of a period of intense regulatory scrutiny. Butswinkas, who has practiced at Williams & Connolly for 30 years and was serving as co-chair of the firm’s […]

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