‘Enforcement 40’ for 2020
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By Securities Docket on January 31, 2015, 9:50 am
But a forthcoming paper in the Journal of Legal Studies by a Berkeley law professor says that pension funds don’t seem to be putting their money where their mouths are. According to study author Robert Bartlett, there’s an apparent gap between institutional investors’ adamant advocacy for shareholder class actions and their actual trading decisions. via […]
By Securities Docket on January 31, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for January 30, 2015.
By Securities Docket on January 30, 2015, 12:08 pm
The Second Circuit’s decision in U.S. v. Newman turned Trent Martin from an extradited, admitted insider trader awaiting a sentence of up to several years in prison into a free man. via Trent Martin Case Illustrates Massive Impact of Newman Decision | Compliance Week
By Securities Docket on January 30, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for January 29, 2015.
By Securities Docket on January 29, 2015, 5:19 pm
The Securities and Exchange Commission today announced that Robert E. Rice, Chief Counsel to Chair Mary Jo White, will leave the agency at the end of February. via Robert E. Rice, Chief Counsel to SEC Chair, to Leave SEC — SEC Press Release
By Securities Docket on January 29, 2015, 9:39 am
The SEC has named Erin Schneider, a 10-year veteran of the SEC’s San Francisco office, as Associate Regional Director. Schneider will lead the San Francisco office’s enforcement efforts for Northern California and the Pacific Northwest. via SEC’s Erin Schneider Named Associate Regional Director in San Francisco | Compliance Week
By Securities Docket on January 29, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for January 28, 2015.
By Securities Docket on January 29, 2015, 8:02 am
U.S. prosecutors said they are prepared to drop charges against five men accused of engaging in insider trading ahead of an IBM Corp acquisition, citing a major appellate court ruling limiting authorities’ abilities to pursue such cases. In an unusual letter late Wednesday, prosecutors under Manhattan U.S. Attorney Preet Bharara asked U.S. District Judge Andrew […]
By Securities Docket on January 28, 2015, 12:31 pm
Richard Grime joins Gibson, Dunn from O’Melveny.
By Securities Docket on January 28, 2015, 11:44 am
The close of 2014 saw the SEC’s Division of Enforcement take a victory lap. Following the release of the statistics for the fiscal year ended September 30, Division Director Andrew Ceresney touted a few records—the largest number of enforcement actions brought in a single year (755); the largest total value of monetary sanctions awarded to […]