March 25 Webcast: Leveraging Data Analytics to Minimize Risk in the Financial Services Industry

March 25 Webcast: Leveraging Data Analytics to Minimize Risk in the Financial Services Industry

By Securities Docket on March 7, 2019, 3:27 pm

Please join Joshua Dennis, Ellen Lafferty, Dan Ward and A.J. Bosco for this webcast.

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Mar. 1 Webcast: SEC Enforcement — Current Developments and What’s Ahead for 2019

Mar. 1 Webcast: SEC Enforcement — Current Developments and What’s Ahead for 2019

By Securities Docket on February 13, 2019, 11:17 am

Please join Bill McLucas, Doug Davison, Marty Wilczynski and Steve Richards for this free webcast.

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Feb. 21 Webcast — The Securities Class Action Landscape: A Look Back at 2018 and What’s Ahead in 2019

Feb. 21 Webcast — The Securities Class Action Landscape: A Look Back at 2018 and What’s Ahead in 2019

By Securities Docket on January 29, 2019, 4:14 pm

Please join Jeff Lubitz and Stefan Boettrich for this free webcast.

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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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Deviating from Whistleblower Programs may have more risk than payoff – Lexology

By Securities Docket on September 12, 2019, 9:36 am

That said, the Ontario Whistleblower Program is demonstrating signs of promise and robust take-up among whistleblowers. It is more important than ever for businesses to have in place a strong controls system and corporate culture in order to detect potential problems as early as possible and to protect employees who come forward to report those […]

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Insider-trading law fix is within reach | Reuters

By Securities Docket on September 12, 2019, 9:25 am

The act still has a ways to go before becoming law. It won approval from the U.S. House of Representatives’ Financial Services Committee in May, drawing support from Republicans and Democrats alike – no small feat in a highly partisan Congress. The full House is expected to take it up in the fall. Like a […]

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Former SDNY Prosecutor Amanda Kramer Joins Covington | Covington & Burling LLP

By Securities Docket on September 12, 2019, 9:13 am

Amanda Kramer, former Assistant U.S. Attorney for the U.S. Attorney’s Office for the Southern District of New York, has joined Covington’s White Collar Defense and Investigations Practice in New York as a partner. Ms. Kramer served for more than 11 years as a federal prosecutor in the Southern District of New York. Most recently, she […]

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Former FBI Chief of Staff Zack Harmon Returns to King & Spalding – King & Spalding

By Securities Docket on September 12, 2019, 7:31 am

King & Spalding today announced that Zack Harmon has returned as a partner in the firm’s Special Matters and Government Investigations team, following his most recent role as Chief of Staff of the Federal Bureau of Investigation (FBI). Harmon will be based in the firm’s office in Washington, D.C. via Former FBI Chief of Staff […]

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Former Senior SEC Lawyer John Berry Joins Munger, Tolles & Olson

By Securities Docket on September 12, 2019, 7:29 am

Munger, Tolles & Olson announced on Sept. 10, 2019 the addition of John W. Berry, a former U.S. Securities and Exchange Commission senior official, as a partner in its Los Angeles office. Mr. Berry, who served as associate regional director for the agency’s Los Angeles office, will join the firm on Sept. 16, 2019. via […]

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Episode 916: The Whistleblower Whisperer : Planet Money : NPR

By Securities Docket on September 12, 2019, 7:26 am

Jordan Thomas is one of the top whistleblower lawyers in the country. When people on Wall Street see some kind of financial wrongdoing and want to report it, they can work with him to bring evidence to the SEC anonymously. Tips his clients have brought to the SEC have led to huge cases against some […]

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SEC Chairman Jay Clayton’s Remarks to the Economic Club of New York

By Securities Docket on September 10, 2019, 8:08 am

To be clear, I do not intend to change the FCPA enforcement posture of the SEC.  We should, however, recognize that we are acting largely alone and other countries are incentivized to play, and I believe some are in fact playing, strategies that take advantage of our laudable efforts. Taking a step back, this experience, […]

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SEC Chairman Scolds Weak Anti-Corruption Enforcement Abroad – WSJ

By Securities Docket on September 9, 2019, 1:52 pm

In remarks prepared for delivery in New York on Monday, Jay Clayton said countries that neglect to punish corporate bribery create a two-tiered system that gives their domestic companies a leg up on U.S. firms that face punishment for not following the law. “For the past two plus decades we have vigorously enforced the Foreign […]

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Should SEC Resurrect Broad Punishments for Companies That Talk to Analysts? | ThinkAdvisor

By Securities Docket on September 9, 2019, 8:17 am

The SEC’s August Reg FD case may not signal a return to the commission putting on its “amateur psychologist hats,” but a resurgence of Reg FD cases could resurrect fears of “chilling effects” on public disclosure and a re-examination of the constitutionality of Reg FD. via Should SEC Resurrect Broad Punishments for Companies That Talk […]

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Chris Collins’ defense team is not at all happy about splitting trial in two – The Buffalo News

By Securities Docket on September 9, 2019, 8:15 am

The idea of splitting Rep. Chris Collins’ criminal trial in two – with his son facing jurors before he does – came as a complete surprise to the Clarence lawmaker’s defense team. And his top lawyer is not at all happy about it. “The proposed approach would involve at least twice as much of the […]

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