‘Enforcement 40’ for 2020
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By Securities Docket on October 16, 2014, 7:13 pm
The Justice Department has named William J. Stellmach to be the acting chief of its criminal fraud section. Mr. Stellmach, a prosecutor for more than a decade, is filling the role in the wake of the departure of Jeffrey Knox, who left for private practice last month. The appointment was effective Sept. 2, but has […]
By Securities Docket on October 16, 2014, 12:15 pm
Mathew Martoma will begin serving his nine year prison term for insider trading next month, but his wife is now challenging an accompanying $9.4 million forfeiture order. Rosemary Martoma asked the court this week to allow her to keep her share of the couple’s assets–including a $2.2 million home in Boca Raton, Florida and approximately […]
By Securities Docket on October 16, 2014, 10:45 am
Almost exactly one year after SEC Chair Mary Jo White’s “Broken Windows” speech, SEC Commissioner Michael Piwowar took issue with that strategy in a speech of his own, stating that “if every rule is a priority, then no rule is a priority.” via SEC’s Piwowar: ‘If Every Rule is a Priority, Then No Rule is […]
By Securities Docket on October 16, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for October 15, 2014.
By Securities Docket on October 16, 2014, 7:20 am
Companies that discover corruption issues might do well to clean up their act before they make disclosures to the government. Current and former officials say authorities have become more reluctant to impose outside watchdogs — known as monitorships — when companies can show they’ve already reformed the policies that allowed misconduct to occur. via SEC […]
By Securities Docket on October 16, 2014, 7:18 am
I was lucky enough to spend Tuesday at Bruce Carton’s Securities Enforcement Forum 2014. In three years, it has gone from zero to the preeminent securities enforcement law conference anywhere. I blogged it hurriedly throughout the day, but here are what I think are the most salient points or comments after some reflection. via Wrapping […]