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Join the Securities Litigation and Enforcement Group on LinkedInNew Data Show SEC Drops 20% of Investigations Following Wells Notice – Compliance Week
The SEC’s Wells process allows people and entities in the SEC’s crosshairs to file a submission with the Commission to try to persuade it not to bring a case. New data for a recent two-year period show that approximately 20% of individuals who received a Wells notice from the SEC ended up not facing charges. […]
Securities Docket Announces Inaugural ‘Enforcement 40’
Securities Docket announces its inaugural “Enforcement 40”—our list of the 40 best and brightest securities enforcement defense lawyers in the business.
Matthew Martens to Join WilmerHale in Washington, D.C.
SEC Chief Litigation Counsel to join law firm WilmerHale.
Britain Weighs Creating System to Reward Whistle-Blowers – DealBook
The British government is considering creating a reward system, similar to ones in the United States, to encourage whistle-blowers to come forward to root out fraud and other white-collar crime. The U.K. Home Office said this week that it, along with other government agencies, would examine the “qui tam” provisions in the United States, which […]
Chair White Wants SEC’s Enforcement Presence Felt ‘Everywhere’ – Compliance Week
SEC Chair Mary Jo White said yesterday that she wants the Enforcement Division to strive to be “everywhere.” Citing the “Broken Windows” strategy of law enforcement, White said that no case is too small to pursue. via Chair White Wants SEC’s Enforcement Presence Felt ‘Everywhere’ – Compliance Week.
Securities Docket News Wire for October 9, 2013
Get caught up with the Securities Docket News Wire for October 9, 2013.
Madoff Trustee Asks Supreme Court to Let Him Sue Banks – DealBook
The trustee seeking to recover money for the victims of Bernard L. Madoff’s Ponzi scheme asked the Supreme Court on Wednesday to review a ruling that prohibits him from suing several of the world’s largest banks that he contends aided the fraud. via Madoff Trustee Asks Supreme Court to Let Him Sue Banks – DealBook
Lawyers On Quest To Find 12 Jurors For Madoff Trial – Law Blog – WSJ
Picking a jury for the criminal trial of five former employees of Bernard L. Madoff was never expected to be easy. The stunning tale of how the secretive broker swindled investors and evaded regulators for decades is now common knowledge. Indeed, more than 100 of the prospective jurors said they believed anyone who worked with Mr. […]
“Show Me the Money” or 14 Million Reasons to Upgrade Your Compliance Program — BakerHostetler
Given the lottery-like nature of the $14 million dollar bounty, employers should expect more employees to disclose potential misconduct to the SEC rather than reporting internally. As the number and value of whistleblower awards increases, it further underscores the need for corporations to be as proactive as possible in ensuring that compliance programs and training […]
Tone at the Top (of the SEC): Tough — The HLS Forum on Corp. Gov. and Fin. Reg.
As the fiscal year comes to a close—even while the Securities and Exchange Commission, amidst the government shutdown, continues to fund its operations through a carryover balance from FY 2013—it is a good time to review recent signs of SEC skepticism regarding financial statement reporting practices and the SEC’s current focus on public company officers, […]