‘Enforcement 40’ for 2020
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By Securities Docket on April 25, 2014, 8:46 am
Prosecutor Marc P. Berger joining law firm Ropes & Gray in July 2014 from SDNY.
By Securities Docket on April 24, 2014, 4:38 pm
“Embarrassed and ashamed” former KPMG partner sentenced to 14 months in federal prison and ordered to pay a $100,000 fine for role in insider trading scheme. via Former KPMG Partner Scott London Sentenced to 14 Months in Prison – Compliance Week
By Securities Docket on April 24, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for April 23, 2014.
By Securities Docket on April 24, 2014, 8:25 am
Tim Belevetz joins Holland & Knight from U.S. Attorney’s Office for the EDVA.
By Securities Docket on April 24, 2014, 8:05 am
Todd Newman and Anthony Chiasson’s appeals of their insider trading convictions hinge on a fairly nit-picky legal point about jury instructions, although an important one that has an appeals court pretty riled up.1 But I don’t really think that the appeal has gotten so much attention, or gotten judges so riled up, or raised concerns […]
By Securities Docket on April 24, 2014, 7:53 am
In a statement Wednesday, SEC Enforcement Director Andrew Ceresney said the legislation in its current form is not workable. “Civil law enforcement agencies like the SEC aren’t able to obtain the search warrants that the proposed legislation would require,” he said. “Preserving access to evidence through (Internet service providers) for the SEC and other civil […]
By Securities Docket on April 23, 2014, 3:54 pm
While the SEC’s fraud case against Robert J. Vitale is probably the least of his worries right now, it still memorializes some pretty outrageous alleged misrepresentations made by Vitale to investors. via SEC Alleges Misrepresentations, Whopping Embellishments by Stock Promoter – Compliance Week
By Securities Docket on April 23, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for April 22, 2014.