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Join the Securities Litigation and Enforcement Group on LinkedInSecurities Docket News Wire for August 29, 2014
Get caught up with the Securities Docket News Wire for August 29, 2014.
SEC Issues First Whistleblower Award to an Audit/Compliance Employee | Compliance Week
The SEC announced today that it has awarded more than $300,000 to a whistleblower employee who reported wrongdoing to the SEC after the whistleblower’s company failed to take action when the whistleblower reported it internally. The SEC noted that the award was the first the agency has made to a whistleblower who performed an audit […]
Securities Docket News Wire for August 28, 2014
Get caught up with the Securities Docket News Wire for August 28, 2014.
FBI Probing Reported Cyber Attacks on J.P. Morgan, Other Banks | Compliance Week
The FBI confirmed last night that it is working with the U.S. Secret Service “to determine the scope of recently reported cyber attacks against several American financial institutions.” According to the WSJ, federal investigators are primarily focused on a possible “significant breach of corporate computer security” at J.P. Morgan and up to four other banks. J.P […]
IR Exec Charged With Insider Trading Makes Barefoot Dash From Cameras | Compliance Week
The latest investor relations executive to be charged with insider trading compounded his problems on Tuesday by making a mad, barefoot, and very high-profile dash out of the courthouse. via IR Exec Charged With Insider Trading Makes Barefoot Dash From Cameras | Compliance Week
Securities Docket News Wire for August 25, 2014
Get caught up with the Securities Docket News Wire for August 25, 2014.
Sebi to act tough in high-profile insider trading cases – The Economic Times
To send across a strong message to manipulators, capital market regulator Sebi is mulling over ways for more stringent enforcement actions in cases of high- profile and glaring violations of insider trading norms. A revision of nearly two-decade old set of insider trading regulations is currently underway and the new norms are expected to be […]
Securities Docket News Wire for August 24, 2014
Get caught up with the Securities Docket News Wire for August 24, 2014.
Who is whistle-blower David Danon, who is suing Vanguard? — Philadelphia Inquirer
Who is David Danon, and what drove him to take on his old bosses at Vanguard Group Inc., alleging that its nearly $3 trillion in assets were built on an illegal tax strategy? via Who is whistle-blower David Danon, who is suing Vanguard? — Philadelphia Inquirer
Securities Docket News Wire for August 23, 2014
Get caught up with the Securities Docket News Wire for August 23, 2014.