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Join the Securities Litigation and Enforcement Group on LinkedInSecurities Docket News Wire for February 27, 2015
Get caught up with the Securities Docket News Wire for February 27, 2015.
Level Global Co-Founder Files Lawsuit Against Prosecutors, FBI Agents | Compliance Week
Yesterday, Level Global co-founder David Ganek announced that he has filed an unusual lawsuit against U.S. Attorney Preet Bharara and other prosecutors and FBI supervisors and agents who were allegedly involved in the 2010 raid on Level Global. via Level Global Co-Founder Files Lawsuit Against Prosecutors, FBI Agents | Compliance Week
Securities Docket News Wire for February 26, 2015
Get caught up with the Securities Docket News Wire for February 26, 2015.
SEC Probes Companies’ Treatment of Whistleblowers – WSJ
In recent weeks the agency has sent letters to a number of companies asking for years of nondisclosure agreements, employment contracts and other documents, according to people familiar with the matter and an agency letter viewed by The Wall Street Journal. The inquiries come as SEC officials have expressed concern about a possible corporate backlash […]
SEC Enforcement Chief: Reporting Suspicious Activity ‘Not Optional’ for BDs — ThinkAdvisor
Securities and Exchange Commission Enforcement Chief Andrew Ceresney told broker-dealers Wednesday that compliance with the Bank Secrecy Act “is not optional,” and that a BD’s failure to file a required suspicious activity report (SAR) “is, by itself, a basis for enforcement action.” via SEC Enforcement Chief: Reporting Suspicious Activity ‘Not Optional’ for BDs — ThinkAdvisor
Securities Docket News Wire for February 25, 2015
Get caught up with the Securities Docket News Wire for February 25, 2015.
Batista Insider Trading Case in ‘Turmoil’ After Judge Seen Driving Seized Porsche | Compliance Week
Yesterday, the landmark Eike Batista insider trading trial in Brazil was “thrown into turmoil” when reporters spotted the judge in the case driving Batista’s white Porsche Cayenne that had been previously seized by authorities along with several other luxury vehicles belonging to Batista. via Batista Insider Trading Case in ‘Turmoil’ After Judge Seen Driving Seized […]
Securities Docket News Wire for February 24, 2015
Get caught up with the Securities Docket News Wire for February 24, 2015.
Securities Docket News Wire for February 23, 2015
Get caught up with the Securities Docket News Wire for February 23, 2015.
She Runs S.E.C. He’s a Lawyer. Recusals and Headaches Ensue. – NYTimes.com
… In the nearly two years since Ms. White took over the agency, she has had to recuse herself from more than four dozen enforcement investigations, the interviews and records show, sometimes delaying settlements and opening the door, in at least one case, to a lighter punishment. She Runs S.E.C. He’s a Lawyer. Recusals and […]