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Join the Securities Litigation and Enforcement Group on LinkedInAs FY 2014 Closes, SEC Brings Two Cases Based on Leaked Info From Analysts | Compliance Week
In two cases filed this week as the SEC’s fiscal year 2014 comes to a close, the SEC delivered a sharp reminder to financial analysts (and their friends!) that market-moving ratings changes by financial institutions need to remain confidential until they are publicly announced. via As FY 2014 Closes, SEC Brings Two Cases Based on […]
Securities Docket News Wire for September 29, 2014
Get caught up with the Securities Docket News Wire for September 29, 2014.
As SEC Enforcement Cases Rise, Big Actions Are Sparse – WSJ
Mary Jo White will end her first full fiscal year running the Securities and Exchange Commission able to claim an increase in its annual tally of cases, the first year-over-year rise since 2011, according to people close to the agency. It is an important benchmark for the SEC chairman, a former federal prosecutor who promised […]
Waiting for Dodd-Frank Clawbacks — theRacetotheBottom
Only the [Dodd-Frank] clawback provision remains an idea on paper but not one that has been put into practice. The provision requires SEC rulemaking. No rule proposal has yet to emerge, although the provision is on the SEC’s rulemaking agenda. via Waiting for Dodd-Frank Clawbacks — theRacetotheBottom
SEC’s Secret $30 Million Whistleblower Case Won’t Improve Corporate Behavior — Forbes
This week, the U.S. Securities and Exchange Commission (SEC) captured headlines when it announced it is awarding a record $30 million to a whistleblower for reporting a major fraud. While I applaud the enforcement action, those of us in the risk and compliance profession are alarmed by how little we know about what must be […]
Six Years After AIG Bailout, Trial Asks: Was It Legal? – NBC News.com
One of the more unusual trials to come out of the 2008 financial crisis is set to begin on Monday, when a federal judge will consider whether the U.S. government’s rescue of American International Group Inc was, in fact, legal. via Six Years After AIG Bailout, Trial Asks: Was It Legal? – NBC News.com.
Securities Docket News Wire for September 26, 2014
Get caught up with the Securities Docket News Wire for September 26, 2014.
Federal Court Orders Wylys to Pay ‘Staggering’ Judgment in SEC Fraud Case | Compliance Week
Yesterday, U.S. District Judge Shira Scheindlin ruled that Sam Wyly and the estate of his late brother, Charles, must pay $187.7 million in disgorgement following the SEC’s May 2014 jury verdict against them. The court described the judgment as a “staggering” sum that could reach $300-$400 million with interest. via Federal Court Orders Wylys to […]
Securities Docket News Wire for September 25, 2014
Get caught up with the Securities Docket News Wire for September 25, 2014.
Securities Docket News Wire for September 24, 2014
Get caught up with the Securities Docket News Wire for September 24, 2014.