‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSEC Enforcement’s Osnato Named Chief of Renamed ‘Complex Financial Instruments Unit’ – Compliance Week
The SEC announced yesterday that Michael J. Osnato, Jr. has been named chief of the Enforcement Division’s Complex Financial Instruments Unit, filling the vacancy left by the departure of Kenneth Lench. The Complex Financial Instruments Unit was previously known as the Structured and New Products Unit. via SEC Enforcement’s Osnato Named Chief of Renamed ‘Complex […]
Must-Watch: PBS Frontline’s ‘To Catch a Trader’ Airs Tonight – Compliance Week
Cancel your plans for 10 pm Eastern tonight because that is when PBS’ Frontline series returns with what promises to be a fascinating look at the DOJ and the SEC’s recent crackdown on insider trading. Tonight’s program (“To Catch a Trader”) includes detailed interviews with FBI agents, traders, hedge fund executives, journalists and others who provide […]
SAC Trial Seen by Probe Convict as Latest Abusive Tactic – Businessweek
James Fleishman knows what that’s like. He faced the same potential doom, and like Martoma, argued he was unfairly targeted in a U.S. effort to develop evidence of wrongdoing by others. A former software salesman who found his job with expert-networking firm Primary Global Research LLC on the Internet, Fleishman resisted pressure to make a […]
DPAs, NPAs and the Hybrid Corporate Monitor — Bribery Library Blog
In the relatively short but significant history of deferred prosecution agreements (DPAs) and non-prosecution agreements (NPAs), imposition of an independent monitor has typically been an all-or-nothing proposition. A monitor was either required for the entire term of the agreement (usually three years), or a monitor was not required at all. Recent enforcement actions, however, signal […]
Top Ten D&O Stories of 2013 — The D & O Diary
The world of directors and officers liability has long been characterized by rapid change. But even given these well-established dynamics, 2013 was a particularly eventful year, with several different developments that could impact the D&O arena for years to come. The list of the Top Ten D&O Stories of 2013 is set out below with […]
Securities Docket News Wire for January 6, 2014
Get caught up with the Securities Docket News Wire for January 6, 2014.