‘Enforcement 40’ for 2020
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Patrick Murphy Joins Wilmer Hale from SEC
Patrick Murphy has joined WilmerHale as counsel in its Palo Alto office. The firm announced that Murphy has joined its Securities Department, and is a member of the Securities Litigation and Enforcement Practice Group. Prior to joining the firm, Mr. Murphy served as a Branch Chief in the San Francisco Regional Office of the SEC. […]
SEC Enforcement Manual Result of Senate Report on Pequot Capital Matter
There has been no shortage of speculation about just what prompted the SEC to publish its Enforcement Manual earlier this month. The manual contains detailed policies and procedures that are intended to be “guidance” for the staff of the SEC’s Division of Enforcement, and which appear to memorialize a large number of policies that have […]
U.S. Treasury Committee Cannot Reach Consensus, Offers No Recommendation on Limiting Auditor Liability
As I discuss in greater detail in this post on my Enforcement Action blog over at Compliance Week, on October 6 the U.S. Treasury Department’s Advisory Committee on the Auditing Profession issued its Final Report. Among many other things, the 200+ page report examined in great detail the “possible impact of the current U.S. liability […]
19 Heller Ehrman Lawyers Join Davis Wright Tremaine’s Seattle Office
Nineteen attorneys from Heller Ehrman, including 13 partners, two of-counsels, and four associates, are joining Davis Wright Tremaine’s Seattle office. The Puget Sound Business Journal reports that Seattle-based Davis Wright now becomes the second-largest law firm in the Puget Sound area (behind only Perkins Coie), with 229 attorneys in Seattle and almost 540 firm-wide.The 19 […]
Memo to SEC … Please Update the OIG Reports Webpage
With two harshly critical reports issued in October 2008 by the SEC’s Office of Inspector General (Bear Stearns; Aguirre), we think it is fair to ask why the page on the SEC website that contains all of the SEC Office of Inspector General Reports has not been updated since September 30. Anyone wishing to read […]
Canada: AMF’s New Focus in Insider Trading Cases Producing Results
A new special investigation unit set up in March within Quebec’s financial-industry watchdog, Autorité des marchés financiers, seems to be making some progress in enforcing laws against market manipulation and illegal insider trading. AMF announced charges last week under the Quebec Securities Act against Richard Quesnel, president and chief executive of Consolidated Thompson Iron Mines […]