‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInTo police Wall Street, go after the little guys — The Great Debate
Prosecutors have been targeting Cohen in their sweeping crackdown on insider trading. Yet as a deterrent against future crimes, Steinberg’s conviction — like scores of others in the past several years — is even more valuable. Conventional wisdom holds that landing the big fish in high-profile white collar cases is the best deterrent against other […]
Senate Confirms Leslie Caldwell to Head DOJ’s Criminal Division – Compliance Week
In September, President Obama nominated Leslie Caldwell to replace Lanny Breuer as head of the DOJ’s Criminal Division. Eight months later, the U.S. Senate finally confirmed Caldwell yesterday on a voice vote. via Senate Confirms Leslie Caldwell to Head DOJ’s Criminal Division – Compliance Week
Financial regulators don’t agree on Wall Street mea culpas — Reuters
Wall Street’s self-funded regulator has not been swayed by the U.S. Securities and Exchange Commission’s new policy that some industry wrongdoers should admit to their bad behavior. That may be good for brokers and firms who are targets of the Financial Industry Regulatory Authority’s enforcement actions, but it does not please some investor advocates. via […]
Mark Adler Named Deputy Director in PCAOB Division of Enforcement and Investigations – Compliance Week
The Public Company Accounting Oversight Board has promoted Mark Adler to Deputy Director and Chief Trial Counsel in the Division of Enforcement and Investigations, where he oversees the litigation program, effective as of May 12. via Mark Adler Named Deputy Director in PCAOB Division of Enforcement and Investigations – Compliance Week
Long-running SEC insider trading case heads to trial — Reuters
Jury selection begins Monday in New York federal court in a civil action brought in 2006 against Nelson Obus, a fund manager at Wynnefield Capital Inc accused of reaping $1.3 million after trading on inside information about the takeover of industrial products supplier SunSource Inc. The SEC, which began investigating Obus in 2001, is also […]
SEC Trial Scorecard Update: SEC Prevails in Fraud Trial Against Wyly Brothers – Compliance Week
On Monday of this week, the SEC completed its 13th trial in FY 2014–a successful high-profile case against billionaire Samuel Wyly and the estate of his brother, Charles Wyly. via SEC Trial Scorecard Update: SEC Prevails in Fraud Trial Against Wyly Brothers – Compliance Week
Securities Docket News Wire for May 15, 2014
Get caught up with the Securities Docket News Wire for May 15, 2014.
Photos and Highlights from West Coast SEC Directors Roundtable
Photos and highlights from Securities Docket’s West Coast SEC Directors Roundtable.