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Join the Securities Litigation and Enforcement Group on LinkedInSEC Adds Two New Defendants to the Familial Betrayal Tree – Compliance Week
On March 31, 2014, the SEC brought two unrelated cases that they announced together because of a common denominator we have tracked for here for several years: familial betrayal. via SEC Adds Two New Defendants to the Familial Betrayal Tree – Compliance Week
SEC Charges Hewlett-Packard With FCPA Violations — SEC Press Release
The Securities and Exchange Commission today charged Hewlett-Packard with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries in three different countries made improper payments to government officials to obtain or retain lucrative public contracts. via SEC Charges Hewlett-Packard With FCPA Violations — SEC Press Release
Judge set to decide SAC Capital’s penalty — CNNMoney
A federal judge could rule Thursday on whether she’ll accept the insider trading guilty plea from the hedge fund firm formerly known as SAC Capital Advisors, as well as the proposed $1.2 billion in penalties. via Judge set to decide SAC Capital’s penalty — CNNMoney
Former S.E.C. Official to Join K.K.R. as Compliance Chief – NYTimes.com
Bruce Karpati, a former Securities and Exchange Commission official, is joining the giant private equity firm Kohlberg Kravis Roberts & Company as its chief compliance officer, a person briefed on the matter said on Wednesday. Former S.E.C. Official to Join K.K.R. as Compliance Chief — NYTimes.com.
Securities Docket News Wire for April 9, 2014
Get caught up with the Securities Docket News Wire for April 9, 2014.
When Regulators Think They’re Prosecutors – WSJ.com Op-Ed
Many investors and commentators think it’s about time the SEC got tougher on financial fraudsters and treated them more like common criminals. But policy makers and judges should think twice about whether this trend of quasi-criminal administrative prosecution is a good idea. It isn’t, for at least two reasons. via Russell G. Ryan: When Regulators […]