Securities Docket News Wire for March 5, 2014

Securities Docket News Wire for March 5, 2014

By Securities Docket on March 6, 2014, 8:55 am

Get caught up with the Securities Docket News Wire for March 5, 2014.

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Register Now to Attend the West Coast SEC Directors Roundtable! — May 8, 2014 in San Francisco

Register Now to Attend the West Coast SEC Directors Roundtable! — May 8, 2014 in San Francisco

By Securities Docket on March 4, 2014, 7:44 am

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

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Early-Bird Registration Now Open for Securities Enforcement Forum 2014 — Oct. 14, 2014 in Washington, D.C.

Early-Bird Registration Now Open for Securities Enforcement Forum 2014 — Oct. 14, 2014 in Washington, D.C.

By Securities Docket on February 28, 2014, 12:00 pm

U.S. Attorney Preet Bharara and SEC Commissioner Michael Pivovar to deliver Keynotes at SEF 2014!

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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.

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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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Mar. 11 Webcast: Insider Trading Enforcement Update

Mar. 11 Webcast: Insider Trading Enforcement Update

By Securities Docket on January 31, 2014, 11:09 am

Please join Carl (Chip) H. Loewenson, Jr. and Allen D. Applbaum for this free webcast.

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President Requests SEC Budget of $1.7B for FY 2015, But Will Congress Go Along? – Compliance Week

By Securities Docket on March 5, 2014, 11:15 am

Yesterday, President Barack Obama proposed a fiscal year 2015 budget of $1.7 billion for the Securities and Exchange Commission–a 26% increase over the agency’s FY 2014 budget. The fact that the president is seeking $1.7 billion for the SEC is hardly the end of the agency’s budget story for FY 2015, however. via President Requests [...]

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Court weighs securities fraud class-action cases today — AP

By Securities Docket on March 5, 2014, 7:58 am

The Supreme Court is considering whether to abandon a quarter-century of precedent and make it tougher for investors to band together to sue corporations for securities fraud. The justices hear arguments Wednesday in an appeal by Halliburton that seeks to block a class-action lawsuit claiming the energy services company inflated its stock price. via Court [...]

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The SEC Speaks in 2014: Beware the Data Crunchers — King & Spalding

By Securities Docket on March 3, 2014, 9:13 am

Even more notable to securities practitioners than the attendance of Mark Cuban at this year’s SEC Speaks event (held in Washington, D.C. on February 21-22, 2014) was the start-to-finish focus of the Enforcement Division on data, data, data. Beginning with Chair Mary Jo White’s kick-off address, and extending throughout the two-day event, the Commission and [...]

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Details on the Case Underlying the SEC’s $14 Million Whistleblower Award – Compliance Week

By Securities Docket on February 27, 2014, 2:44 pm

Details on the most significant whistleblower award issued to date by the SEC’s Office of the Whistleblower finally emerged today. The $14 million award, which was issued on September 30, 2013, is reportedly the result of a case filed in February 2013 that returned over $147 million to investors. via Details on the Case Underlying [...]

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Securities Class Action: Will It Become Endangered Species? – WSJ.com

By Securities Docket on February 27, 2014, 12:29 pm

The Supreme Court is taking up the contested legal theory that underpins most big securities class-action lawsuits in a case that could reshape the balance of power between companies and the lawyers who sue them. via Securities Class Action: Will It Become Endangered Species? – WSJ.com

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SEC’s Newest Enforcement Weapon: Powerful Software — Money News

By Securities Docket on February 26, 2014, 3:34 pm

Palantir [software] allows the SEC to compare the records of every trade made in a particular stock, along with the identities of those who made each trade, with addresses, phone numbers and other personal information from paid databases. That enables it to see more clearly relationships between all those trading in the same stock. via [...]

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N.Y. moves to prevent elite access to insider information — CBC News

By Securities Docket on February 26, 2014, 3:31 pm

Eighteen Wall Street firms have agreed to a voluntary ban on analyst surveys amid concerns that the surveys might give some investors an advance peek at market-moving information. via N.Y. moves to prevent elite access to insider information — CBC News

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Supreme Court Rules Allen Stanford Ponzi-Scheme Victims Can Sue Third Parties – Law Blog – WSJ

By Securities Docket on February 26, 2014, 12:32 pm

Victims of R. Allen Stanford’s $7 billion Ponzi scheme can sue law firms and other third parties on allegations they aided the fraud, the Supreme Court ruled Wednesday.  The court, in a 7-2 ruling written by Justice Stephen Breyer, said the victims’ class-action lawsuits were allowed even though a 1998 federal law largely prohibits state-law [...]

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Morgan Stanley Discloses Tentative $275 Million SEC Settlement – Compliance Week

By Securities Docket on February 26, 2014, 11:24 am

In its Form 10-K filed yesterday, Morgan Stanley disclosed that it has reached a tentative agreement to pay $275 million to resolve an SEC investigation into subprime RMBS transactions the firm sponsored and underwrote in 2007. The disclosure appears to signal the end of Morgan Stanley’s distinction of being the only major bank to avoid [...]

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Zynga wins dismissal of fraud lawsuit linked to IPO — Reuters

By Securities Docket on February 26, 2014, 8:58 am

U.S. District Judge Jeffrey White in San Francisco said that despite their “excessively long and prolix” 110-page complaint, the shareholders failed to include “relevant, basic factual details” to support their claims against Zynga, company officials including founder Mark Pincus, and underwriters led by Morgan Stanley and Goldman Sachs & Co. via Zynga wins dismissal of [...]

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