Sept. 19 Webcast: Seeing the Entire Playing Field — Navigating Concurrent Matters in Multiple Jurisdictions

Sept. 19 Webcast: Seeing the Entire Playing Field — Navigating Concurrent Matters in Multiple Jurisdictions

By Securities Docket on August 16, 2017, 10:25 am

Please join Michele E. Rose, Robert P. Howard, Jr., Jim Barratt and Amy Gonce for this free webcast.

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Seeking Nominations for Securities Docket’s ‘Enforcement 40′

Seeking Nominations for Securities Docket’s ‘Enforcement 40′

By Securities Docket on August 9, 2017, 5:16 pm

Securities Docket welcomes your nominations for our updated ‘Enforcement 40′ — the 40 best and brightest securities enforcement defense professionals in the industry.

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Aug. 10 Webcast: Building the Fifth Pillar of an Effective Anti-Money Laundering Compliance Program

Aug. 10 Webcast: Building the Fifth Pillar of an Effective Anti-Money Laundering Compliance Program

By Securities Docket on July 10, 2017, 1:49 pm

Please join Alma Angotti, Daniel L. Stipano, John Davidson, Valerie-Leila Jaber and Myrna Olvera for this free webcast.

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Highlights from Securities Enforcement Forum West 2017

Highlights from Securities Enforcement Forum West 2017

By Securities Docket on June 5, 2017, 1:48 pm

Photos and highlights from Securities Enforcement Forum West 2017.

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Guest Post: SEC Enforcement — 2016 in Review and Looking Ahead to 2017

Guest Post: SEC Enforcement — 2016 in Review and Looking Ahead to 2017

By Securities Docket on February 24, 2017, 5:57 pm

The questions facing the SEC are the same ones that it has faced many times before, but which events have now rendered acute.

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Feb. 28 Webcast: Top SEC Concerns in Public Company Financial Reporting to Watch in 2017

Feb. 28 Webcast: Top SEC Concerns in Public Company Financial Reporting to Watch in 2017

By Securities Docket on February 20, 2017, 4:30 pm

Please join Nicolas Morgan and Jean Chow-Callam for this free webcast.

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March 16 Webcast: How to Prove and Defend Fraudulent Transfer Claims – A Legal and Valuation Perspective

March 16 Webcast: How to Prove and Defend Fraudulent Transfer Claims – A Legal and Valuation Perspective

By Securities Docket on February 14, 2017, 11:20 am

Please join Dion Hayes, Jeff Litvak, Scott Friedland and Clara Chin for this free webcast.

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Jan. 18 Webcast: Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions and the FCPA (2016 Update)

Jan. 18 Webcast: Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions and the FCPA (2016 Update)

By Securities Docket on December 22, 2016, 1:22 pm

Please join Patrick F. Stokes, Sean X. McKessy, F. Joseph Warin, John W.F. Chesley, Erika A. Kelton and Jim Barratt for this free webcast.

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Highlights from Securities Enforcement Forum 2016

Highlights from Securities Enforcement Forum 2016

By Securities Docket on October 20, 2016, 9:37 pm

Photos and highlights from Securities Enforcement Forum 2016.

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Oct. 26 Webcast: The Ability-to-Pay Defense — a Strategy for Reducing Criminal Fines

Oct. 26 Webcast: The Ability-to-Pay Defense — a Strategy for Reducing Criminal Fines

By Securities Docket on October 17, 2016, 4:13 pm

Please join Seth Farber, Trey Nicoud, Basil Imburgia, Jeff Litvak, and Geoffrey Ihnow for this free webcast.

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July 14 Webcast: The Department of Labor’s New Conflict of Interest Regulations–A Game Changer for the Financial Services Industry

July 14 Webcast: The Department of Labor’s New Conflict of Interest Regulations–A Game Changer for the Financial Services Industry

By Securities Docket on June 23, 2016, 3:29 pm

Please join Brad Bondi and Michael Wheatley of Cahill Gordon & Reindel for this free webcast.

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Highlights from Securities Enforcement Forum West 2016

Highlights from Securities Enforcement Forum West 2016

By Securities Docket on May 30, 2016, 7:38 pm

Photos and highlights from Securities Enforcement Forum West 2016.

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Dentist, Claiming Tip Was a Rumor, Wins Insider Trading Case — SEC Actions

By Securities Docket on August 16, 2017, 11:18 pm

A jury found Jessie Roberts, a Louisiana dentist who claimed what the government called an illegal tip was just a rumor, not guilty of insider trading. U.S. v. Roberts, No. 15-ct-00020 (M.D. La. Filed Feb19, 2015). The case centered on trading in advance of the acquisition of the Shaw Group, Inc. by Chicago Bridge & […]

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Fugitive from Watertown arrested in Puerto Rico – The Boston Globe

By Securities Docket on August 16, 2017, 5:26 pm

A Watertown developer who skipped town after his securities-fraud conviction traded time behind bars for life in Puerto Rico, where he was arrested Friday night, according to officials. The arrest by US marshals ended a months-long flight for Robert H. Bray, 79, whose 2016 conviction for insider trading came after decades of working in local […]

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SEC Uncovers Wide-Reaching Insider Trading Scheme — SEC Press Release

By Securities Docket on August 16, 2017, 5:22 pm

The Securities and Exchange Commission today announced insider trading charges against seven individuals who generated millions in profits by trading on confidential information about dozens of impending mergers and acquisitions.  Data analysis allowed the SEC’s enforcement staff to uncover the illicit trading despite the traders’ alleged use of shell companies, code words, and an encrypted, […]

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For Rajat Gupta, Returning Is a Hard Road – The New York Times

By Securities Docket on August 16, 2017, 4:56 pm

Mr. Gupta, the former global head of consulting giant McKinsey & Company, became a pariah among many of the corporate chieftains who once craved his counsel. Now 68, he has been trying to restore his reputation and rebuild his fortune since being released from a federal prison medical center in Devens, Mass. But he has […]

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SEC on Track for Record Enforcement Activity in 2017

By Securities Docket on August 15, 2017, 10:20 am

Given that these preliminary numbers clearly point toward another strong year, it’s curious that the SEC and other agencies were criticized by some in a Wall Street Journal article for levying less in penalties in the first half of the year compared to 2016. Having spent more than 15 years in the enforcement division of […]

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Fixers purged in a crackdown on foreign deals | This is Money

By Securities Docket on August 14, 2017, 11:46 am

An international crackdown on using fixers who bribe government officials and firms to win foreign contracts has led to major shake-ups at some of Britain’s biggest companies. The Serious Fraud Office and other law enforcement agencies are targeting the actions of middlemen who have been used by UK firms for decades to help set up […]

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FCPA Prosecutor Returns to Foley’s Litigation Department in Washington | Foley & Lardner LLP

By Securities Docket on August 11, 2017, 9:45 am

Foley & Lardner LLP announced today that former federal prosecutor Rohan Virginkar is returning to the firm as a partner in its Government Enforcement, Compliance & White Collar Defense Practice. Virginkar most recently served as a trial attorney in the U.S. Department of Justice’s Foreign Corrupt Practices Act Unit. He also served as counsel to […]

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2017 Mid-Year Securities Enforcement Update — Gibson Dunn

By Securities Docket on August 11, 2017, 9:43 am

The first half of 2017 was unusually quiet for the SEC’s Division of Enforcement.  This undoubtedly stemmed from the change in administration following the November election.  With Chair Mary Jo White and various other members of the agency’s senior leadership (including the Director of the Division of Enforcement) stepping down, and only two sitting Commissioners […]

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Ruston dentist acquitted of insider trading related to sale of Shaw Group in Baton Rouge | theadvocate.com

By Securities Docket on August 11, 2017, 9:28 am

Federal prosecutors had alleged that Jesse H. Roberts III reaped a $700,000 profit from confidential information allegedly provided by his brother-in-law, Scott David Zeringue. Roberts was found not guilty on one count each of securities fraud and conspiracy to commit securities fraud. He did not testify in his own defense. The jury deliberated for about […]

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Ex-Investment Bank Vice President Pleads Guilty to Insider Trading | Reuters

By Securities Docket on August 11, 2017, 9:25 am

A former investment banking vice president pleaded guilty on Thursday to a U.S. charge that he engaged in insider trading in Neustar Inc shares before the advertising technology company announced it would be acquired by a private equity firm. Avaneesh Krishnamoorthy, a 42-year-old Indian citizen living in West New York, New Jersey, entered his plea […]

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