Nov. 17 Webcast: Internal Investigations in Brazil and the U.S. – Comparative Approaches and Challenges

Nov. 17 Webcast: Internal Investigations in Brazil and the U.S. – Comparative Approaches and Challenges

By on October 26, 2021, 9:36 am

Please join Iris Bennett, Carlos Ayres and Steven Neuman for this free webcast.

Full Story »

Posted in , , | Tagged , ,

Sept. 15 Webcast: The Current Compliance Landscape in Brazil--What You Need to Know About New Forms of Fraud, Corruption and Other Crimes

Sept. 15 Webcast: The Current Compliance Landscape in Brazil–What You Need to Know About New Forms of Fraud, Corruption and Other Crimes

By on August 5, 2021, 10:40 am

Please join Iris Bennett, Carlos Ayres and Steven Neuman for this free webcast.

Full Story »

Posted in , , | Tagged , ,

July 28 Webcast: The Modernization of Communications and Corporate Investigations

July 28 Webcast: The Modernization of Communications and Corporate Investigations

By on July 7, 2021, 4:42 pm

Please join Emmanuel Ayuk, Veeral Gosalia, Irumire (David) Okhumale, and Alex Semertzides for this free webcast.

Full Story »

Posted in , , | Tagged , ,

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.

Full Story »

Posted in , , | Tagged , ,

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.

Full Story »

Posted in , , | Tagged ,

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.

Full Story »

Posted in , , ,

Previous Pause Next

Tesla hires former SEC trial lawyer David Misler as managing counsel

By on November 23, 2021, 10:27 am

Tesla has hired David Misler as a new managing counsel, according to his LinkedIn profile. Misler is a former trial attorney for the Securities and Exchange Commission and previously worked for the U.S. Department of Justice. Source: Tesla hires former SEC trial lawyer David Misler as managing counsel

Posted in , , | Tagged

The Elizabeth Holmes Trial: Founder Recounts ‘Big Idea’ That Led to Creation of Theranos – WSJ

By on November 23, 2021, 8:18 am

Elizabeth Holmes took jurors into the Theranos Inc. lab Monday during testimony at her criminal-fraud trial, describing ways the startup sought to reduce errors in lab testing and miniaturize traditionally bulky blood-testing machines. “We thought this was a really big idea,” Ms. Holmes said of Theranos’s attempts to remove human error from steps involved in […]

Posted in , | Tagged ,

Beware of Communications Falsely Appearing to Come from the SEC – Investor Alert | Investor.gov

By on November 22, 2021, 1:19 pm

We are aware that several individuals recently received phone calls or voicemail messages that appeared to be from an SEC phone number.  The calls and messages raised purported concerns about unauthorized transactions or other suspicious activity in the recipients’ checking or cryptocurrency accounts.  These phone calls and voicemail messages are in no way connected to […]

Posted in , | Tagged

SEC/Terraform Litigation: Compendium, Commentary and Takeaways | LinkedIn

By on November 19, 2021, 10:21 am

For three hours, 28 minutes and 22 seconds tonight, there will occur a near-total lunar eclipse as the full moon is plunged into the blood-red light cast by Earth’s shadow. The so-called Beaver Moon, the longest in 580 years, will provide a special thrill for lunar stargazers. Of course, a Beaver Moon is a rare and […]

Posted in , | Tagged

SEC Announces Enforcement Results for FY 2021

By on November 18, 2021, 5:28 pm

The Securities and Exchange Commission today announced that it filed 434 new enforcement actions in fiscal year 2021, representing a 7 percent increase over the prior year. Seventy percent of these new or “stand-alone” actions involved at least one individual defendant or respondent. The new actions spanned the entire securities waterfront, including against emerging threats […]

Posted in , | Tagged

FCPA “Tips” Continue To Be A Minor Component Of The SEC’s Whistleblower Program – FCPA Professor

By on November 17, 2021, 5:54 pm

Recently, the SEC released its annual report for FY2021 and, like the prior ten years, FCPA “tips” continue to be a minor component of the SEC’s whistleblower program. Specifically, according to the SEC’s report, of the 12,200 whistleblower tips received by the SEC in FY2021, 258 (2.1%) related to the FCPA. This percentage of FCPA “tips” vs. overall tips […]

Posted in , | Tagged

Aseel Rabie Joins Debevoise as Counsel in the Financial Institutions Group | Debevoise & Plimpton LLP

By on November 16, 2021, 9:30 am

Debevoise & Plimpton LLP announced today that Aseel Rabie has joined the firm’s Washington, D.C. office as counsel in the Financial Institutions Group. In this role, Ms. Rabie will advise the firm’s clients on regulatory, supervisory and enforcement matters in the anti-money laundering and sanctions space. Source: Aseel Rabie Joins Debevoise as Counsel in the […]

Posted in , , | Tagged

Daniel R. Gregus Named Director of Chicago Office

By on November 15, 2021, 5:35 pm

The Securities and Exchange Commission today announced that Daniel R. Gregus has been named Director of the Chicago Regional Office, where he has served as acting co-director since June. Mr. Gregus is a 28-year veteran of the SEC and has held leadership roles in both the Division of Enforcement and the Division of Examinations. He […]

Posted in , , | Tagged

Where Are the (Crypto) Lawyers? | LinkedIn

By on November 12, 2021, 8:12 am

It’s Déjà vu all over again at the SEC. At the 2021 SEC Enforcement Forum, Chair Gary Gensler of the U.S. Securities and Exchange Commission (SEC), seized the opportunity to admonish the rising crop of self-anointed fintech lawyers who too often advise their clients on how to circumvent U.S. securities laws — as opposed to […]

Posted in , | Tagged , ,

The SEC’s mind-boggling tale of $40 million fraud on class action administrators | Reuters

By on November 10, 2021, 6:11 pm

It’s no easy feat to rook securities settlement administrators, whose job, after all, is to make sure that money from settlement funds gets paid out only to investors with legitimate claims. But according to a newly unsealed indictment and simultaneous U.S. Securities and Exchange Commission complaint in federal court in Philadelphia, three alleged fraudsters managed […]

Posted in , , | Tagged

Criminal

Global

People

SEC