‘Enforcement 40’ for 2020
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Jan. 13 Webcast: SEC Enforcement – Key Developments in 2014
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2015 SEC Trial Scorecard Update: Jury Finds Bank, CEO Liable for Fraud | Compliance Week
In the SEC’s third trial to reach a verdict in FY 2015, a federal jury in Miami found after a six-week trial that BankAtlantic Bancorp and its CEO fraudulently misled investors in 2007. via 2015 SEC Trial Scorecard Update: Jury Finds Bank, CEO Liable for Fraud | Compliance Week
Securities Docket News Wire for December 15, 2014
Get caught up with the Securities Docket News Wire for December 15, 2014.
Recent decision could give inside trader a 2nd chance | New York Post
Kimelman, who spent 15 months of a 30-month sentence in a federal pen in Lewisburg, Pa., knows he can’t get back his life. But a stunning appeals court decision reversing two key insider-trading convictions has given him hope that he can restore his reputation. via Recent decision could give inside trader a 2nd chance | […]
Insider-Trade Law Should Get Rethink – WSJ
If this decision remains in effect, those desiring to improperly obtain information from insiders can do so safely as long as the government can’t prove the trader knew the insider got value. That should shock Congress to get back in the game and rationalize the insider-trading laws to restore the integrity of the markets. Otherwise, […]
Madoff Aide Sentenced to Six Years in Prison – WSJ
A federal judge sentenced JoAnn Crupi to six years in prison on Monday for her role in aiding Bernard Madoff’s Ponzi scheme, capping the legal odyssey of five former Madoff employees convicted of helping enable the fraud. via Madoff Aide Sentenced to Six Years in Prison – WSJ
SEC Brings Another Travel And Entertainment FCPA Enforcement Action « FCPA Professor
Yesterday, the SEC brought its 7th Foreign Corrupt Practices Act enforcement action of 2014. Like the previous 6 enforcement actions (5 against companies and 1 against individuals), the enforcement action was resolved via the SEC’s administrative process. Yesterday’s enforcement action against life-sciences company Bruker Corporation was primarily based on excessive travel and entertainment benefits provided […]