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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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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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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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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SEC Enforcement Officer Dishes on the FCPA: More Cases Coming; Cooperation Sought — 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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Samidh Guha Joins Jones Day in New York

Samidh Guha Joins Jones Day in New York

By Securities Docket on July 24, 2014, 10:36 am

Samidh Guha joins Jones Day from Akin Gump.

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People Who Don’t Get It: Investor Relations Execs Who Engage in Insider Trading — Compliance Week

By Securities Docket on July 23, 2014, 6:15 pm

Not too far removed from public company employees who foolishly believe they can get away with insider trading in their own company’s stock are investment relations executives who foolishly think they can get away with insider trading stock in the stock of their public company clients. Bad idea! via People Who Don’t Get It: Investor [...]

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Sean Prosser Joins Perkins Coie in San Diego

Sean Prosser Joins Perkins Coie in San Diego

By Securities Docket on July 22, 2014, 5:26 pm

Sean T. Prosser joins Perkins Coie from Morrison & Foerster.

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Insider Trading Defendant Tries Out ‘Notorious B.I.G.’ Strategy at Sentencing | Compliance Week

By Securities Docket on July 22, 2014, 4:12 pm

Former investment banker Frank Perkins Hixon Jr. tried out a different approach in court yesterday when he argued that the court should sentence him to a prison term of less than four years. Let’s call it the “Notorious B.I.G.” strategy. via Insider Trading Defendant Tries Out ‘Notorious B.I.G.’ Strategy at Sentencing | Compliance Week

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Madoff associates should get ‘significant’ time: prosecutors – Reuters

By Securities Docket on July 21, 2014, 11:25 am

Five former employees of disgraced investment manager Bernard Madoff should be sentenced to “significant” prison sentences of up to 20 years or more, prosecutors said in a court filing on Friday. via Madoff associates should get ‘significant’ time: prosecutors – Reuters

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Rajaratnam’s acquittal limits insider trading law — New York Times

By Securities Docket on July 21, 2014, 11:24 am

That surely came as no surprise to prosecutors in Bharara’s office. Letters from prosecutors to the judge indicate that they were upset that she did not let the insider trading counts go to the jury rather than take the rare step of dismissing them — a step the prosecutors can’t appeal. In one letter, they [...]

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