Feb. 2 Webcast: Navigating the Minefield of Dodd-Frank's Whistleblower Provisions (2020 Update)

Feb. 2 Webcast: Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions (2020 Update)

By on January 22, 2021, 9:59 am

Please join panelists from Gibson Dunn, Phillips & Cohen and AlixPartners for this free webcast.

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SEC Enforcement: A Look Back at 2020, and What to Expect in 2021

SEC Enforcement: A Look Back at 2020, and What to Expect in 2021

By on December 29, 2020, 6:41 pm

Please join panelists Bill McLucas, Doug Davison, Marty Wilczynski and Jason Flemmons for this free webcast.

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Securities Docket Announces 'Enforcement 40' for 2020

Securities Docket Announces ‘Enforcement 40’ for 2020

By on October 29, 2020, 10:23 am

Securities Docket announces its list of the 40 best securities enforcement defense lawyers.

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CFTC Whistleblower Program in Peril Over Potential $100 Million-Plus Payout – WSJ

By on May 11, 2021, 8:28 am

The Commodity Futures Trading Commission’s whistleblower program is in turmoil over a potential payout exceeding $100 million to a former Deutsche Bank AG executive—one so large it would deplete the agency’s whistleblower funds and has led it to seek congressional action. Source: CFTC Whistleblower Program in Peril Over Potential $100 Million-Plus Payout – WSJ

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SEC Chairman Shares Thoughts On Bitcoin – Bitcoin Magazine

By on May 7, 2021, 3:48 pm

“It’s a digital, scarce store of value, but highly volatile,” Gensler told CNBC. “And there’s investors that want to trade that, and trade that for its volatility, in some cases just because it is lower correlation with other markets. I think that we need greater investor protection there.” According to Gensler, such investor protection would […]

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Cryptocurrency Exchanges Need Direct Regulation, SEC Chair Says | Barron’s

By on May 7, 2021, 1:38 pm

Gensler said the SEC is working on guidance for crypto custody, and then said that he thinks exchanges need more direct oversight. He added that “only Congress that could really address it.” “Right now the exchanges trading in these crypto assets do not have a regulatory framework, either at the SEC or our sister agency, […]

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The new ‘deal tax’: SPAC defendants are paying plaintiffs lawyers to drop N.Y. state suits | Reuters

By on May 7, 2021, 1:37 pm

In the last seven months, lawyers from a handful of shareholder firms have filed more than 60 lawsuits in New York State Supreme Court in Manhattan against board members of special purpose acquisition companies, accusing SPAC directors of breaching their duty to investors by omitting important information from public filings about their proposed acquisitions. The […]

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Elizabeth Holmes’ lavish lifestyle looms over Theranos fraud case

By on May 7, 2021, 1:35 pm

Elizabeth Holmes’ jet-setting, lavish lifestyle as CEO of Theranos took center stage on Thursday as her attorneys argued it was irrelevant to her criminal fraud case. “What she wore, where she stayed, how she flew and what she ate has nothing to do with this trial,” said Holmes’ attorney Kevin Downey, adding that its “inflammatory […]

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Former SEC Division of Enforcement Assistant Director Ranah Esmaili Joins Sidley in Washington, D.C. | Sidley Austin LLP

By on May 6, 2021, 11:41 am

 Sidley  is pleased to announce that Ranah Esmaili, former Assistant Director in the Enforcement Division of the U.S. Securities and Exchange Commission (SEC), has joined the firm in Washington, D.C., as a partner in its Securities Enforcement and Regulatory practice. Ms. Esmaili served as Assistant Director of the Asset Management Unit, a national specialized unit […]

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SEC Charges Under Armour Inc. With Disclosure Failures

By on May 4, 2021, 8:22 am

The Securities and Exchange Commission today charged sports apparel manufacturer Under Armour Inc. with misleading investors as to the bases of its revenue growth and failing to disclose known uncertainties concerning its future revenue prospects. Under Armour has agreed to pay $9 million to settle the action. Source: SEC.gov | SEC Charges Under Armour Inc. With […]

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Alex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement

By on April 28, 2021, 5:06 pm

The Securities and Exchange Commission today announced that Alex Oh has resigned her position as Director of the Division of Enforcement for personal reasons. Melissa Hodgman will return to the role of Acting Director of the Division of Enforcement. Source: SEC.gov | Alex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement

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The FBI Should Retire its Form 302 | LinkedIn

By on April 24, 2021, 10:23 am

Finally, and perhaps most importantly, Form 302 of the U.S. Federal Bureau of Investigation (“302”), the memorandum used by FBI agents to memorialize their notes taken during a witness interview, can unintentionally create a materially misguided, mistaken, incomplete and wholly unreliable evidentiary record. Innocently characterized as an “interview memo,” the 302, with its “official” look […]

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Alex Oh Named SEC Director of Enforcement

By on April 22, 2021, 2:44 pm

The Securities and Exchange Commission today announced that Alex Oh has been appointed Director of the Division of Enforcement. Oh was most recently a partner at Paul, Weiss, Rifkind, Wharton & Garrison LLP and co-chair of the law firm’s Anti-Corruption & FCPA Practice Group. She was previously an Assistant U.S. Attorney in the Criminal Division […]

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