SEC Enforcement’s Accounting Statistics for Fiscal 2014 – Up or Down?

SEC Enforcement’s Accounting Statistics for Fiscal 2014 – Up or Down?

By Securities Docket on January 21, 2015, 2:01 pm

Guest columnists Jason Flemmons and Martin Wilczynski take a closer look at whether the SEC’s 2014 enforcement statistics actually show an increase in accounting and financial fraud cases.

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Jan. 22 Webcast: Gauging Investor Exposure Post-Halliburton

Jan. 22 Webcast: Gauging Investor Exposure Post-Halliburton

By Securities Docket on January 7, 2015, 3:21 pm

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

Jan. 13 Webcast: SEC Enforcement – Key Developments in 2014

By Securities Docket on December 16, 2014, 1:50 pm

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 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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Photos and Highlights from Securities Enforcement Forum 2014

Photos and Highlights from Securities Enforcement Forum 2014

By Securities Docket on November 3, 2014, 9:11 am

Video and photo highlights from Securities Enforcement Forum 2014.

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DOJ, SEC Seek Do-Over in Newman Insider Trading Case | Compliance Week

By Securities Docket on January 27, 2015, 3:03 pm

On Friday, both the DOJ and the SEC filed briefs arguing for a rehearing in the U.S. v. Newman case that has dramatically affected the prosecution of many insider trading cases. via DOJ, SEC Seek Do-Over in Newman Insider Trading Case | Compliance Week

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A Closer Look at the SEC’s Financial Reporting Cases in FY 2014 | Compliance Week

By Securities Docket on January 23, 2015, 10:43 am

The SEC recently released data showing that it filed 99 financial reporting and accounting cases in FY 2014 — a 46% increase over FY 2013. A closer look at the data reveals, however, that the predicted surge in these cases may not be upon us just yet. via A Closer Look at the SEC’s Financial [...]

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Judge Lets Four Defendants Retract Insider-Trading Guilty Pleas – Law Blog – WSJ

By Securities Docket on January 23, 2015, 8:41 am

December’s seismic insider-trading ruling is still reverberating in federal court. A U.S. district judge in Manhattan on Thursday allowed four men to pull their insider-trading guilty pleas, citing last year’s Second U.S. Circuit Court of Appeals ruling that put new limitations on prosecutors’ ability to pursue such cases. via Judge Lets Four Defendants Retract Insider-Trading Guilty Pleas [...]

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IBM Insider Cases Said by U.S. to Be Subject to Dismissal – Businessweek

By Securities Docket on January 21, 2015, 9:20 am

Prosecutors, in a Jan. 19 letter to [U.S. Judge Andrew] Carter, called the appeals court’s ruling involving former hedge fund managers Todd Newman and Anthony Chiasson “erroneous.” If the judge agrees with the defense lawyers’ interpretation of the ruling, they conceded that the four guilty pleas in the IBM cases should be vacated and pending [...]

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Jason Jones Joins King & Spalding in Washington, D.C.

Jason Jones Joins King & Spalding in Washington, D.C.

By Securities Docket on January 20, 2015, 3:55 pm

Jason A. Jones joins King & Spalding from DOJ.

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SEC Riding Lengthy Unbeaten Streak in Administrative Proceedings | Compliance Week

By Securities Docket on January 20, 2015, 2:24 pm

A recent analysis shows that the SEC has prevailed in each and every administrative proceeding decided since October 2013–including 14 consecutive victories in APs that went to trial. via SEC Riding Lengthy Unbeaten Streak in Administrative Proceedings | Compliance Week.

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U.K.’s SFO Ends Probe into Hewlett-Packard Deal – WSJ

By Securities Docket on January 19, 2015, 10:37 am

Britain’s Serious Fraud Office said Monday it has closed its probe into the sale of U.K. software company Autonomy to Hewlett-Packard Co. The agency, in a short statement, said that it found insufficient evidence related to some allegations for a “realistic prospect of conviction” in the investigation. via U.K.’s SFO Ends Probe into Hewlett-Packard Deal [...]

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The SEC’s On a Long Winning Streak | National Law Journal

By Securities Docket on January 19, 2015, 10:19 am

As criticism mounts that its in-house forum is unfair, the U.S. Securities and Exchange Commission won every administrative case last year, according to an analysis by The National Law Journal. The winning streak, which began in October 2013 and continues today, spans 219 decisions by the agency’s administrative law judges, although three-quarters of the victories [...]

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Former S&P Official Seeks to Pull Plug on ‘Imminent’ AP Against Her | Compliance Week

By Securities Docket on January 18, 2015, 11:44 pm

Last week, the latest challenge to the SEC’s use of administrative proceedings came in a case filed in federal court by a former official at Standard & Poor’s. Notably, the former official filed her case before the SEC has brought any AP against her and before the Commission has even held its vote on whether [...]

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‘Digital Currency Working Group’ Helped SEC Bring Recent Bitcoin Case | Compliance Week

By Securities Docket on January 15, 2015, 1:05 pm

In its announcement of a recent case involving unregistered online venues that traded securities using virtual currencies, the SEC noted that its investigation was conducted “in coordination with the agency’s Digital Currency Working Group.” The case marks the first time that the Digital Currency Working Group has been linked to a specific enforcement action. via [...]

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