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SDNY’s Marc Berger Joining Ropes & Gray in New York
Prosecutor Marc P. Berger joining law firm Ropes & Gray in July 2014 from SDNY.
New LinkedIn program offers compliance with SEC and Finra regs — InvestmentNews
LinkedIn has launched a compliance program designed to help advisers and financial services firms meet SEC and Finra record-keeping and supervision requirements while using the popular networking website. via New LinkedIn program offers compliance with SEC and Finra regs — InvestmentNews
Former KPMG Partner Scott London Sentenced to 14 Months in Prison – Compliance Week
“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
Securities Docket News Wire for April 23, 2014
Get caught up with the Securities Docket News Wire for April 23, 2014.
Tim Belevetz Joins Holland & Knight in Washington, D.C.
Tim Belevetz joins Holland & Knight from U.S. Attorney’s Office for the EDVA.
These ‘Greedy Wall Streeters’ Just Don’t Seem Guilty – Bloomberg View
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 […]
Bipartisan group slams U.S. SEC for resisting email privacy reform — Reuters HedgeWorld
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 […]
SEC Alleges Misrepresentations, Whopping Embellishments by Stock Promoter – Compliance Week
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
Securities Docket News Wire for April 22, 2014
Get caught up with the Securities Docket News Wire for April 22, 2014.