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Join the Securities Litigation and Enforcement Group on LinkedInIs the Mark Cuban Victory Lap Finished or Just Getting Started, Part II – Compliance Week
Mark Cuban’s insider trading trial is long over but he is not finished engaging with the SEC. Cuban recently stated that he plans to launch a business that will collect and publish SEC trial transcripts highlighting SEC tactics he considers suspect. via Is the Mark Cuban Victory Lap Finished or Just Getting Started, Part II […]
“Whistleblowers” and Tipsters at the SEC — Cady Bar the Door
… The difficult truth here is the Commission cannot pursue everything it’s confronted with. There is more securities fraud in the world than the SEC can address. And, given the numbers involved, that last piece is very hard to do, especially given the consequences of getting it wrong. Most tips that lead to successful enforcement […]
Securities and Exchange Commission looking into CalPERS stock purchases — The Sacramento Bee
Both JPMorgan and Access Midstream were on CalPERS’ internal “restricted company list,” which flags securities that can’t be routinely traded because at least one person at CalPERS has inside information about matters that could affect the companies’ stock price. Examples of such material non-public information include earnings estimates, significant changes in management or operations, and […]
Securities Docket News Wire for December 30, 2013
Get caught up with the Securities Docket News Wire for December 30, 2013.
Mark Cuban Won’t Back Down – WSJ.com
During the process, Mr. Cuban says, he became so frustrated with the SEC’s lawyers that he is now considering a new venture publicizing SEC transcripts. “It wouldn’t be a big business, but it would be a business because it’s not getting done,” he says. “I’m going to get as many as I can, and I’ll […]
Securities Docket News Wire for December 29, 2013
Get caught up with the Securities Docket News Wire for December 29, 2013.
Clawbacks? They’re Still a Rare Breed – NYTimes.com
The Fifth Third case is interesting because it shows that securities regulators can indeed require executives to pay penalties out of their own pockets when they settle charges of flouting securities laws. But the regulatory action is also notable for what it did not involve: an executive pay clawback under the Sarbanes-Oxley law. Indeed, the […]
Securities Docket News Wire for December 28, 2013
Get caught up with the Securities Docket News Wire for December 28, 2013.
Securities Docket News Wire for December 27, 2013
Get caught up with the Securities Docket News Wire for December 27, 2013.
Instinet settles SEC charges it ignored soft dollar red flags — Reuters
Instinet LLC, a New York brokerage, agreed to pay more than $813,000 to settle U.S. Securities and Exchange Commission charges that it made improper “soft dollar” payments to an investment firm while ignoring red flags that the payments should not have been made. via Instinet settles SEC charges it ignored soft dollar red flags — […]