‘Enforcement 40’ for 2020
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By Securities Docket on April 30, 2014, 3:53 pm
Please join John Reed Stark and Nicholas A. Oldham for this free webcast.
By Securities Docket on April 30, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for April 29, 2014.
By Securities Docket on April 30, 2014, 7:43 am
A forthcoming academic study has done just that for one regulator, tracking the money investors have received from the Securities and Exchange Commission’s efforts to punish frauds and other financial crimes. The results of the research, to be published in the Stanford Law Review in 2015, cast the SEC’s performance in an interesting light: The […]
By Securities Docket on April 29, 2014, 12:39 pm
How does one become an SEC Commissioner? On his CorporateAffairs.tv YouTube channel, Broc Romanek does a nice job of answering that question. In short, as Broc explains in a video, there are 5 key steps. via How Does One Become an SEC Commissioner? – Compliance Week
By Securities Docket on April 29, 2014, 10:49 am
Last week, TIME Magazine released its annual list of the “100 most influential people in the world,” headlined by the woman featured on the cover, Beyoncé. Also notably included on this list was SEC Chair Mary Jo White. White was included in the “Pioneers” category and her entry, titled “Wall Street’s top watchdog,” was written by […]
By Securities Docket on April 29, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for April 28, 2014.
By Securities Docket on April 29, 2014, 8:01 am
… The story for today is that we are repeating the errors of Prohibition. We see federal prosecutors making names for themselves by convicting mostly low-level functionaries. We see the so-called corruption of otherwise good folks, including medical researchers and high-tech specialists, with valuable information. Yet with so much wealth at stake, this “corruption” surely […]
By Securities Docket on April 29, 2014, 7:59 am
A former pastor and notorious con man was sentenced to five years in federal prison Monday for stealing $3.5 million from his San Diego church and its members, a tale of betrayal that a judge said made the three-time felon one of the worst white-collar criminals. Barry Minkow, 48, was ordered to do the time […]
By Securities Docket on April 26, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for April 25, 2014.