June 28 Webcast: The Bribery Act, Chapter 7 — The Americanisation of UK Corporate Crime

June 28 Webcast: The Bribery Act, Chapter 7 — The Americanisation of UK Corporate Crime

By Securities Docket on June 19, 2018, 1:53 pm

Please join Vivian Robinson QC, Barry Vitou, Richard Kovalevsky QC and Julian Glass for this free webcast.

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June 29 Webcast: Financial Statements 101 — Emerging Trends and Accounting Principles for Lawyers

June 29 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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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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US prosecutors charge three men in US$364 million Ponzi scheme – Reuters

By Securities Docket on September 20, 2018, 12:42 pm

Federal prosecutors have accused three men of portraying themselves as investment professionals and using a phony portfolio of consumer debt to defraud hundreds of unwary investors out of tens of millions of dollars as part of a US$364 million Ponzi scheme. via US prosecutors charge three men in US$364 million Ponzi scheme – Reuters

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Labaton’s Whistleblower Group Lands Former Top SEC Lawyer | The American Lawyer

By Securities Docket on September 20, 2018, 12:40 pm

Levine, a former longtime associate general counsel for legal policy at the SEC, will focus his efforts on representing whistleblowers in front of the agency in his new role as a partner at Labaton in Washington, D.C. Levine’s hire lands him among other former SEC officials already in Labaton’s five-partner whistleblower practice, including the group’s leader, Jordan […]

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SEC Says Don’t Judge Its Enforcement Strength Solely on Volume of Cases, Fines – WSJ

By Securities Docket on September 20, 2018, 12:38 pm

The Securities and Exchange Commission is still policing wrongdoers, even if the volume of its enforcement actions and dollar amount of its fines drop this year, Stephanie Avakian said Thursday in remarks prepared for a conference in Dallas. The SEC rejects the premise “that numbers—standing alone —can adequately measure the success or impact of an […]

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Madoff Tipster Has Some Big Concerns About SEC’s Whistleblower Proposal | National Law Journal

By Securities Docket on September 20, 2018, 12:37 pm

Markopolos, representing himself, voiced concern about proposed “interpretive guidance” that says independent analysis must go “beyond what would be reasonably apparent to the commission from publicly available information” in order to be worthy of a whistleblower award. That proposed change, Markopolos said, could allow the SEC, with the benefit of “20/20 hindsight,” to stiff an […]

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SEC.gov | SeaWorld and Former CEO to Pay More Than $5 Million to Settle Fraud Charges

By Securities Docket on September 18, 2018, 1:41 pm

The Securities and Exchange Commission today announced that SeaWorld Entertainment Inc. and its former CEO have agreed to pay more than $5 million to settle fraud charges for misleading investors about the impact the documentary film Blackfish had on the company’s reputation and business. SeaWorld’s former vice president of communications also agreed to settle a fraud charge […]

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Former SEC and FINRA Official Russ Ryan Returns to King & Spalding – King & Spalding

By Securities Docket on September 18, 2018, 10:45 am

King & Spalding today announced that Russ Ryan has returned to the firm as a partner with the Special Matters and Government Investigations team in the Washington, D.C., office. He joins from the Financial Industry Regulatory Authority (FINRA), where he served as Senior Vice President and Deputy Chief of Enforcement. Ryan will focus primarily on […]

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SEC Warns Whistleblowers to Report Concerns Promptly

By Securities Docket on September 18, 2018, 10:26 am

On September 14, 2018, the SEC awarded more than $1.5 million to a whistleblower, an amount that was “severely reduced” due to the whistleblower’s delay in reporting and culpability in the violation. Although the order is sparse, it sends two important messages to whistleblowers: 1) report promptly; and 2) expect a significant reduction in award percentage if […]

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Tipping Liability in the Wake of ‘Martoma II’ | New York Law Journal

By Securities Docket on September 18, 2018, 10:25 am

Given the government’s apparent view that “a tipper personally benefits whenever the tipper discloses confidential trading information for a non-corporate purpose,” we expect that courts will continue to wrestle with factual questions about the personal benefit requirement, and whether particular disclosures constitute a breach of a fiduciary duty. The evolving and uncertain case law in […]

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The SFO: Rising Raids and the Right Response

By Securities Docket on September 14, 2018, 9:54 am

It would, therefore, be premature to read too much into the increased number of raids. Maybe if the figures stay high – or go even higher – in the next few years, we will be able to say with certainty that the SFO is increasingly keen to raid those it suspects of wrongdoing. For now, […]

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Seahawks set to sign linebacker facing up to 25 years in prison for insider trading – The Washington Post

By Securities Docket on September 14, 2018, 7:25 am

Mychal Kendricks could be facing a very long term in federal prison. The Seahawks, however, are in short-term need of help at linebacker, so they reportedly are set to sign him. via Seahawks set to sign linebacker facing up to 25 years in prison for insider trading – The Washington Post.

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