‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn
You are browsing the site archives by date.
By Securities Docket on April 18, 2014, 6:11 pm
Please join John Stark and Bradley Bondi for this free webcast.
By Securities Docket on April 18, 2014, 12:29 pm
On April 15, 2013, the SEC’s Office of Compliance Inspections and Examinations quietly disclosed its examination module pertaining to cybersecurity. The disclosure came in the form of a Risk Alert which noted that OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers. via SEC to Launch Cybersecurity Exams of […]
By Securities Docket on April 18, 2014, 10:23 am
The SEC announced this week that David J. Gottesman has been named Deputy Chief Litigation Counsel in the Division of Enforcement. Gottesman joined the SEC in 2004 and was first promoted to a supervisory role in the trial unit in 2011. via SEC’s David Gottesman Named Deputy Chief Litigation Counsel – Compliance Week
By Securities Docket on April 18, 2014, 9:09 am
The revaluation of the subpoenas from Eric Schneiderman’s office, first reported by the Wall Street Journal, brings to at least four the number of agencies probing what the New York Attorney general has described as “Insider Trading 2.0.” Other entities investigating whether Wall Street firms are taking advantage of “differences in delays, or latencies, of […]
By Securities Docket on April 18, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for April 17, 2014.
By Securities Docket on April 18, 2014, 8:50 am
Please join us May 8, 2014 in San Francisco for the West Coast SEC Directors Roundtable!
By Securities Docket on April 17, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for April 16, 2014.
By Securities Docket on April 16, 2014, 10:14 am
The chief executive officer and a managing partner of a New York-based U.S. broker-dealer were arrested today on felony charges arising from a conspiracy to pay bribes to a senior official in Venezuela’s state economic development bank. via CEO and Managing Partner of Wall Street Broker-Dealer Charged in Massive International Bribery Scheme — LongIsland.com
By Securities Docket on April 16, 2014, 10:11 am
The five ex-staffers of Bernie Madoff found guilty of helping the Ponzi monster pull off his epic $17 billion fraud are demanding an acquittal or new trial, claiming they were railroaded by flawed jury deliberations and false testimony from government witnesses. via 5 ex-Madoff staffers want guilty verdicts thrown out — New York Post.
By Securities Docket on April 16, 2014, 10:04 am
Back when I used to walk to Wall Street uphill both ways in the snow, there were certain tricks of the trade you were expected to abide by if you were going to operate in the gray area. via The truth about insider trading: former Galleon trader—CNBC