The “Enforcement 40″ for 2013
Announcing Securities Docket's inaugural "Enforcement 40"Join Us On LinkedIn
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Compliance Ain’t Easy, Part II: Stressed Out Sants Not Returning to Barclays – Compliance Week
As this blog’s readers know, compliance ain’t easy. In mid-October, Sir Hector Sants, Barclays’ head of compliance and regulatory relations, decided to take a three month leave of absence after being diagnosed as suffering from “exhaustion and stress.” Sants was expected to return to his position with Barclays in early 2014, but the firm announced [...]
LeeAnn Ghazil Gaunt Named Chief of SEC Enforcement’s Municipal Securities Unit – Compliance Week
The SEC announced today that LeeAnn Ghazil Gaunt has been named the new chief of the Enforcement Division’s Municipal Securities and Public Pensions Unit. Gaunt fills the vacancy created by the departure of former chief Elaine C. Greenberg, who left the SEC in July 2013. via LeeAnn Ghazil Gaunt Named Chief of SEC Enforcement’s Municipal [...]
Must-Read: The New Yorker Profiles Mary Jo White, ‘Street Cop’ – Compliance Week
Move over Preet Bharara, now it is SEC Chair Mary Jo White’s turn to receive a 10,000-word profile in a mainstream magazine. The November 11, 2013 issue of The New Yorker magazine includes a must-read article on Chair White (“Street Cop”) by Nicholas Lemann that provides some fascinating background and insights on the SEC’s new [...]
SEC’s Howard Scheck Joins KPMG in Washington, D.C.
SEC Division of Enforcement’s Chief Accountant joins KPMG’s Forensic Advisory Practice.
Compliance Ain’t Easy: Stressed Out Sants Takes Leave of Absence from Barclays – Compliance Week
Compliance Week readers know as well as anyone that compliance ain’t easy. After just 10 months on the job as Barclays’ head of compliance and regulatory relations, Sir Hector Sants can attest to that, as well. The former head of the UK’s FSA will be taking a three month leave of absence for “exhaustion and [...]
SEC Enforcement Lawyer Confirmed to be Youngest Federal Judge in U.S. – Compliance Week
The government shutdown did not stop the U.S. Senate from confirming SEC Enforcement attorney Andrea R. Wood on Tuesday to be a judge on the U.S. District Court for the Northern District of Illinois. Wood, presently a Senior Trial Counsel, will at age 40 become the youngest federal court judge in the U.S. when she [...]
Matthew Martens to Join WilmerHale in Washington, D.C.
SEC Chief Litigation Counsel to join law firm WilmerHale.
Enforcement 40 for 2013: Theodore V. Wells, Jr.
“When your franchise is on the line, Ted Wells is the lawyer of choice for Fortune 100 CEOs. Beyond his skill, his experience, his passion, Ted’s track record of successfully defending companies before the government is simply unmatched. Whether he persuades the government to drop its case, or negotiates a pro-defense settlement, or prevails at [...]
Enforcement 40 for 2013: Harry J. Weiss
“For years, Harry Weiss has demonstrated a uniquely deft touch at handling the most complicated legal issues. Harry is an incredibly skilled attorney and advocate, and he is admired and trusted by clients, colleagues, and adversaries. He has an uncanny knack for working through the most difficult issues to achieve successful results. He exudes credibility, [...]
Enforcement 40 for 2013: Reid H. Weingarten
Long considered one of the nation’s top white-collar defense lawyers, Reid Weingarten has been the go-to lawyer for senior corporate executives going to trial. His work over the last 30 years has included the defense of former WorldCom CEO Bernard Ebbers, former Enron accounting officer Richard Causey, former Tyco general counsel Mark Belnick, former Monster.com [...]