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 , , | Leave a response

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

FinCEN Announces New Acting Director | FinCEN.gov

By on August 4, 2021, 9:42 am

Financial Crimes Enforcement Network (FinCEN) Acting Director Michael Mosier today announced he will depart FinCEN at the end of the week for a new opportunity, after serving as the organization’s acting director. Himamauli “Him” Das, a national security expert with experience at the White House, National Security Council, National Economic Council, and Departments of State […]

Posted in , , | Tagged

New SEC Chief Aims to Tame Crypto ‘Wild West’ – CFO

By on August 4, 2021, 9:41 am

“This asset class is rife with fraud, scams and abuse in certain applications,” he told the Aspen Security Forum. “We need additional congressional authorities to prevent transactions, products and platforms from falling between regulatory cracks.” Gensler suggested Congress should be prioritizing granting financial regulators clear oversight of crypto trading, lending, and peer-to-peer decentralized finance (DeFi) […]

Posted in , | Tagged

DeFi Platforms With Names Like SushiSwap Aim to Be Nasdaq for Crypto – Bloomberg

By on August 4, 2021, 8:58 am

Money manager Vladimir Vishnevskiy can earn a negative interest rate for holding a European government bond. Or he can pocket the annual equivalent of a 20% yield for locking money up in one of the wilder corners of the crypto market, known as decentralized finance, or DeFi. Source: DeFi Platforms With Names Like SushiSwap Aim […]

Posted in , | Tagged

Bitcoin (BTC) ETF: SEC’s Gary Gensler Signals Pathway With Tough Rules – Bloomberg

By on August 4, 2021, 8:56 am

The SEC under Gensler and his predecessor Jay Clayton has repeatedly balked at green-lighting a crypto ETF, with the agency raising concerns over transparency and potential for manipulation in the Bitcoin cash market. Most pending ETF applications have been filed under 1930s laws that allow stock exchanges to list products. Gensler is hinting that he’d […]

Posted in , | Tagged

Infrastructure Deal Puts Cryptocurrencies in Washington’s Cross Hairs – The New York Times

By on August 2, 2021, 9:58 am

By strengthening tax enforcement on such digital assets, the federal government could raise $28 billion over a decade, according to an estimate by the Joint Committee on Taxation, which analyzed the plan. While that would be just a small fraction of the $550 billion that lawmakers have proposed in new federal spending on infrastructure, it […]

Posted in , | Tagged

Nikola founder criminal charges puts other SPACs on notice

By on August 2, 2021, 9:55 am

“This case is about the obligation of corporate officers like Milton to provide complete, truthful and accurate information at all times when discussing their company’s affairs,” Securities and Exchange Commission enforcement director Gurbir Grewal told reporters. “There is no end around or exception to this obligation. It applies to all public companies, even those that […]

Posted in , , | Tagged

SEC Charges Founder of Nikola Corp. With Fraud

By on July 29, 2021, 11:16 am

The SEC’s complaint, filed in U.S. District Court for the Southern District of New York, alleges that Milton founded Nikola in 2015 with the primary goal of manufacturing trucks that run on alternative fuels with low or zero emissions, and building an alternative fuel station infrastructure to support those vehicles.  Milton allegedly helped Nikola raise […]

Posted in , | Tagged ,

Trevor Milton: Grand jury indicts Nikola founder on three counts of fraud

By on July 29, 2021, 10:13 am

Trevor Milton, founder of EV start-up Nikola, was indicted on three counts of criminal fraud by a federal grand jury for allegedly lying about “nearly all aspects of the business,” according to the indictment, which was unsealed Thursday. The U.S. Attorney’s Office in Manhattan accused the billionaire, who resigned as chairman in September, with two […]

Posted in , | Tagged ,

Everybody take the week off, Wall Street firm tells staff

By on July 26, 2021, 5:30 pm

No calls, no emails and no meetings. That’s the order this week from Aquiline Capital Partners to its staff. The private equity firm is putting all employees on vacation, people familiar with the matter said. It’s an unusual move intended to recognize employees and avoid burnout from the physical and mental pressure of the COVID-19 […]

Posted in , | Tagged

Wall Street Enforcement to Get Tougher as SEC’s New Top Cop Gets to Work | US News

By on July 26, 2021, 5:19 pm

“Gurbir enjoys a reputation as being a 20-hour-a-day guy,” said John Carney, who ran the same economic crimes unit from 2002-2005. Tough enforcement is a priority for Democrats who say the Trump administration was soft on Wall Street. Under Trump, the SEC focused much more on smaller-scale fraud instead of big corporations, according to Georgetown […]

Posted in , | Tagged

Criminal

Global

People

SEC