‘Enforcement 40’ for 2020
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By Securities Docket on July 23, 2014, 10:40 am
Please join Patrick F. Linehan, John Rizio-Hamilton and Rob McDonald for this free webcast
By Securities Docket on July 23, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for July 22, 2014.
By Securities Docket on July 22, 2014, 5:26 pm
Sean T. Prosser joins Perkins Coie from Morrison & Foerster.
By Securities Docket on July 22, 2014, 4:12 pm
Former investment banker Frank Perkins Hixon Jr. tried out a different approach in court yesterday when he argued that the court should sentence him to a prison term of less than four years. Let’s call it the “Notorious B.I.G.” strategy. via Insider Trading Defendant Tries Out ‘Notorious B.I.G.’ Strategy at Sentencing | Compliance Week
By Securities Docket on July 22, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for July 21, 2014.
By Securities Docket on July 21, 2014, 11:25 am
Five former employees of disgraced investment manager Bernard Madoff should be sentenced to “significant” prison sentences of up to 20 years or more, prosecutors said in a court filing on Friday. via Madoff associates should get ‘significant’ time: prosecutors – Reuters
By Securities Docket on July 21, 2014, 11:24 am
That surely came as no surprise to prosecutors in Bharara’s office. Letters from prosecutors to the judge indicate that they were upset that she did not let the insider trading counts go to the jury rather than take the rare step of dismissing them — a step the prosecutors can’t appeal. In one letter, they […]
By Securities Docket on July 19, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for July 18, 2014.
By Securities Docket on July 18, 2014, 8:58 am
Over at the FCPA Professor blog, which celebrated its 5th birthday this week, Professor Mike Koehler offers an important reminder to those who would compare the SEC’s enforcement action in the FCPA area to that of the DOJ. via Why the SEC and DOJ are on Different ‘Playing Fields’ for FCPA Enforcement – Compliance Week.