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Top SEC Enforcement Events of 2014
A look back at the top SEC enforcement developments of 2014.
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Jan. 22 Webcast: Gauging Investor Exposure Post-Halliburton
Please join Professor Stephen E. Christophe, Ph.D., and Nessim Mezrahi for this free webcast.
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Jan. 13 Webcast: SEC Enforcement – Key Developments in 2014
Please join Bill McLucas, Doug Davison, Marty Wilczynski and Jason Flemmons for this free webcast.
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Photos and Highlights from West Coast SEC Directors Roundtable
Photos and highlights from Securities Docket’s West Coast SEC Directors Roundtable.
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Photos and Highlights from Securities Enforcement Forum 2014
Video and photo highlights from Securities Enforcement Forum 2014.
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Thomas Zaccaro and Nicolas Morgan Launch Zaccaro|Morgan LLP in Los Angeles
Yesterday, Thomas Zaccaro and Nicolas Morgan announced the launch of their new boutique law firm, Zaccaro|Morgan LLP. The firm focuses on “high stakes Complex Civil Litigation, government investigations & defense, white collar criminal defense and related appeals,” and is located in Los Angeles, California. Zaccaro joins the firm from Paul Hastings, where he was a partner and vice-Chair of [...]
Criminal
- Congressman Lynch Offers First ‘Post-Newman’ Bill Banning Insider Trading | Compliance Week
- Decades Later, the Law of Insider Trading Remains Elusive and Undefined | Compliance Week
- In Corporate Crimes, Individual Accountability Is Elusive – NYTimes.com
- Feds Allege Employee Impersonated Firm’s President in SEC Inquiry | Compliance Week
- Obama AG Nominee Spars With Senators Over Foreign Corrupt Practices Act — Forbes
Global
- U.K.’s SFO Ends Probe into Hewlett-Packard Deal – WSJ
- Swiss Bank Feels Force of Cyber Attack in the Social Media Age | Compliance Week
- How Alstom Executives Made Bribery Their Business for Over a Decade – Bloomberg
- ‘British Madoff’ Disappears After $200M Fraud Unravels | Compliance Week
- ‘Laws of the Land’ Finally Catching Up to Former Satyam CEO, Part II | Compliance Week
People
- Harvey Goldschmid, Ex-SEC Commissioner, Scholar, Dies at 74 – Bloomberg Business
- Robert E. Rice, Chief Counsel to SEC Chair, to Leave SEC — SEC Press Release
- Richard Grime Joins Gibson, Dunn in Washington, D.C.
- Jason Jones Joins King & Spalding in Washington, D.C.
- Matthew Schwartz, Peter Skinner and John Zach Join Boies, Schiller in New York
SEC
- Brokers Say SEC Must Drop Suit After Insider Charges Tossed – Bloomberg Business
- SEC’s Piwowar Seeks Guidelines Governing When SEC Will Bring Cases as APs | Compliance Week
- SEC challenged over use of in-house judges – FT.com
- Judge Signals May Toss Ex-Wells Fargo Employees’ Insider Trading Case | Reuters
- OMG it is #TBT at the SEC! | Compliance Week