June 27 Webcast: Financial Statements 101 — Emerging Trends and Accounting Principles for Lawyers

June 27 Webcast: Financial Statements 101 — Emerging Trends and Accounting Principles for Lawyers

By Securities Docket on June 7, 2018, 7:44 am

Please join Jeff Litvak and Jason Tolmaire for this free webcast.

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May 30 Webcast: Death Knell for ICOs and Crypto Exchanges? How Existing U.S. Statutes and Regulations Should (and Will) Deliver the Final Blow

May 30 Webcast: Death Knell for ICOs and Crypto Exchanges? How Existing U.S. Statutes and Regulations Should (and Will) Deliver the Final Blow

By Securities Docket on May 18, 2018, 8:08 am

Please join John Reed Stark and David Fontaine for this free webcast.

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April 26 Webcast: Securities Regulation of Digital Assets

April 26 Webcast: Securities Regulation of Digital Assets

By Securities Docket on April 6, 2018, 8:02 am

Please join Alma Angotti, Gino Soave, Martine Beamon and Jai Massari for this free webcast.

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Highlights from Securities Enforcement Forum 2017

Highlights from Securities Enforcement Forum 2017

By Securities Docket on November 16, 2017, 6:26 pm

Photos and highlights from Securities Enforcement Forum 2017.

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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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SEC Says Ether and Bitcoin Cryptocurrencies Aren’t Securities | WIRED

By Securities Docket on June 15, 2018, 10:11 am

The world’s second-most popular cryptocurrency isn’t an investment vehicle, at least according to the Securities and Exchange Commission. William Hinman, the agency’s director of the division of corporate finance, said Thursday that ether—the currency that powers the Ethereum network—shouldn’t be regulated in the same way as stocks and bonds. His statements follow similar ones made […]

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Is a Digital Coin that Functions as a Medium of Exchange a “Security”? | The D&O Diary

By Securities Docket on June 14, 2018, 7:45 am

One of the cutting-edge legal issues – one that is raised in a number of pending securities class action lawsuits – is the question of whether cryptocurrencies are “securities” and therefore required to be registered with the SEC before they can be traded. Within this larger question are a host of related issues, perhaps the […]

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Ex-CEO of Sunnyvale company gets 2 years for insider trading

By Securities Docket on June 14, 2018, 7:41 am

The former head of a Sunnyvale fiber optics equipment maker was sentenced Wednesday to two years in prison for insider trading and tender offer fraud, according to the U.S. Department of Justice. Peter C. Chang, 60, of Los Altos, founded Alliance Fiber Optic Products Inc. (AFOP) in 1995 and served as chairman of the board […]

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Madoff customers’ recovery tops 75 percent with Merkin settlement | Reuters

By Securities Docket on June 13, 2018, 3:29 pm

The court-appointed trustee liquidating Bernard Madoff’s firm on Wednesday announced a $280 million settlement with one of the swindler’s earliest investors, enabling customers to recoup more than 75 percent of the principal they lost. via Madoff customers’ recovery tops 75 percent with Merkin settlement | Reuters.

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Trial begins in $20 million insider trading case over hacked press releases | Reuters

By Securities Docket on June 13, 2018, 10:27 am

Jurors in Brooklyn federal court heard opening statements from prosecutors and from lawyers for Vitaly Korchevsky, 53, and Vladislav Khalupsky, 47, who stand accused of making close to $20 million by trading stocks based on corporate press releases stolen by hackers before they were released to the public. They face charges including securities fraud and […]

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SEC assigns ‘duty of loyalty’ for financial advisers | Employee Benefit News

By Securities Docket on June 11, 2018, 8:41 am

The rules, as they pertain to RIAs, are essentially a reaffirmation of behavior that already is acknowledged in the industry plus a few clarifications, says Jim Lundy, a partner in Drinker Biddle & Reath LLP’s Chicago office and a securities lawyer. “The takeaway is this is not new guidance,” he says. It reaffirms aspects of […]

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Crypto companies ‘running towards’ regulation is good for bitcoin, analyst Tom Lee says

By Securities Docket on June 8, 2018, 9:14 am

Moves by two major companies in the cryptocurrency space this week could be evidence that regulation is smoothing out, which could bode well for struggling bitcoin prices, according to one closely followed analyst. “We believe the regulatory picture is now improving — best evidenced by Coinbase and Circle ‘running towards’ regulation,” Fundstrat co-founder Tom Lee […]

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$1.1B in cryptocurrency was stolen this year, and it was easy to do

By Securities Docket on June 7, 2018, 9:34 am

Roughly $1.1 billion worth of cryptocurrency was stolen in the first half of 2018, and unfortunately for owners, it’s pretty easy to do, according to cybersecurity company Carbon Black. Criminals use what’s known as the dark web to facilitate large-scale cryptocurrency theft. There are now an estimated 12,000 marketplaces and 34,000 offerings related to cryptotheft […]

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Wall Street’s Top Cop Chases Loose Change – Bloomberg

By Securities Docket on June 7, 2018, 9:34 am

But 13 months in, Clayton’s SEC appears to be giving quality short shrift, at least as measured by the settlements it is reaching. According to a recent, previously unreported study conducted by Urska Velikonja, a professor of law at Georgetown University, the SEC’s monetary punishments plunged 93 percent in the period from October 2017 to March 2018 — the first […]

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Serious Fraud Office: Boost to Coffers Is Vote of Confidence | The Anticorruption Blog

By Securities Docket on June 7, 2018, 8:56 am

The UK’s Serious Fraud Office (“SFO”) recently received an unexpected, yet significant, increase in baseline funding for the 2018-2019 fiscal year. The funding boost comes in spite of Prime Minister Theresa May’s previous efforts, following several high-profile prosecutorial setbacks for the SFO, to fold it into the UK’s National Crime Agency (“NCA”). Relatedly, a new […]

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