Monthly Archives: October 2014

Lawyerless Allen Stanford Files 299-Page Brief Appealing His Conviction | Compliance Week

Last month, Allen Stanford filed a 299-page brief with the U.S. Court of Appeals for the Fifth Circuit offering 15 different arguments as to why his conviction should be overturned. The brief was reportedly filed pro se by Stanford, who had previously fired his court-appointed lawyer. via Lawyerless Allen Stanford Files 299-Page Brief Appealing His Conviction | Compliance Week

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Fee-Shifting and the SEC: Does It Still Believe in Private Enforcement? | CLS Blue Sky Blog

Corporate law normally moves at a glacial pace, but sometimes there are periods of rapid change, much of it invisible to the ordinary observer.  2014 may be witnessing such a period of rapid, low-visibility change.  Between May 29 and September 29, 2014, some 24 public companies adopted either bylaws or charter provisions mandating that an “unsuccessful” plaintiff in shareholder litigation…

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Securities Docket Announces Inaugural Class of ‘Enforcement Hall of Fame’ | Compliance Week

At the conclusion of Securities Enforcement Forum 2014 last week, Securities Docket announced the eight members of the inaugural class of its “Enforcement Hall of Fame.”  The Enforcement Hall of Fame honors the lawyers who have made the “most extraordinary contributions to, and impact upon, the field of securities enforcement over their lifetimes.” via Securities Docket Announces Inaugural Class of…

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Enforcement Hall of Fame: Hon. Stanley Sporkin

“Judge Stanley Sporkin was the SEC’s second Director of Enforcement and the second-longest-tenured Director, serving for seven years. Those who practiced before him at the SEC know him as a compassionate Director who often looked for ways of getting a just result while still having compassion for the individuals and entities he ultimately sued. In order to amplify the power of…

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