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Join the Securities Litigation and Enforcement Group on LinkedInSecond Thoughts About the S.E.C.’s Whistle-Blower Program – DealBook
The Securities and Exchange Commission’s rapid development of its whistle-blower program may well catch criminal activity that falls under the radar. The program sounds great, in theory, but there are several ways its success may harm the agency. In a sense, the program privatizes enforcement just as the agency is struggling to get more public […]
Securities Docket News Wire for April 29, 2013
Get caught up with the Securities Docket News Wire for April 29, 2013.
Securities Docket News Wire for April 26, 2013
Get caught up with the Securities Docket News Wire for April 26, 2013.
Making Accounting Enforcement a Priority: The Case for an SEC Financial Accounting Fraud Specialized Unit
Guest columnist Martin S. Wilczynski argues that creating a financial accounting fraud specialty unit would be a major step and statement by the SEC.
Delaware judge tells directors: You can run, but liability follows — Reuters
For the second time this year, a judge has warned independent directors of a Delaware corporation with Chinese operations that their personal wealth can be at risk in shareholder lawsuits even after they resign their directorships…. On Thursday, Vice Chancellor Sam Glasscock of Delaware Chancery Court refused to dismiss a lawsuit that seeks to hold […]
SEC official plays down concern about whistleblower program — Reuters
Speaking at a panel discussion in New York, Associate Director of Enforcement Stephen Cohen said officials operating the 20-month-old program are devoting more attention to alleged wrongdoing involving asset management, financial reporting and “sophisticated trading” techniques. He noted that it takes time to sort through the tips, which totaled 3,001 in the first year, and […]
Securities Docket News Wire for April 25, 2013
Get caught up with the Securities Docket News Wire for April 25, 2013.
Kluger Asks Appeals Court to Reduce His Record 12-Year Sentence for Insider Trading – Compliance Week
Yesterday in federal appeals court, attorney Matthew Kluger asked the court to reduce his record 12-year sentence and return the title of “longest sentence for insider trading” back to Raj Rajaratnam. via Kluger Asks Appeals Court to Reduce His Record 12-Year Sentence for Insider Trading – Compliance Week.
Securities Docket News Wire for April 24, 2013
Get caught up with the Securities Docket News Wire for April 24, 2013.
Jon Stewart Rains Down on Congress for Weakening STOCK Act – Compliance Week
Earlier this month, Congress quietly repealed a key provision of the STOCK Act that applied to roughly 28,000 senior government officials. It was not quiet enough to escape notice by Comedy Central’s Jon Stewart, however, who ridiculed Congress last night for weakening the STOCK Act in his standard, scathing fashion. via Jon Stewart Rains Down […]