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Join the Securities Litigation and Enforcement Group on LinkedInBrokers Say SEC Must Drop Suit After Insider Charges Tossed – Bloomberg Business
Two brokers who got insider trading-trading charges against them thrown out told a judge they shouldn’t have to face a U.S. Securities and Exchange Commission lawsuit over the same trades. via Brokers Say SEC Must Drop Suit After Insider Charges Tossed – Bloomberg Business
Securities Docket News Wire for February 22, 2015
Get caught up with the Securities Docket News Wire for February 22, 2015.
Securities Docket News Wire for February 21, 2015
Get caught up with the Securities Docket News Wire for February 21, 2015.
SEC’s Piwowar Seeks Guidelines Governing When SEC Will Bring Cases as APs | Compliance Week
Given the SEC’s 100 percent success rate in over 200 administrative proceedings in FY 2014, SEC Commissioner Piwowar stated in a speech yesterday that as a matter of fairness, the agency should create guidelines to determine which cases it brings as administrative proceedings and which it brings in federal court. via SEC’s Piwowar Seeks Guidelines […]
Securities Docket News Wire for February 20, 2015
Get caught up with the Securities Docket News Wire for February 20, 2015.
Decades Later, the Law of Insider Trading Remains Elusive and Undefined | Compliance Week
Despite numerous opportunities to define insider trading going back as far as 1969, Congress has been either unwilling or unable to provide such a definition. The current court battle going on in the U.S. v. Newman insider trading case has led to renewed calls from Mark Cuban and others for Congress to finally act. via […]
SEC challenged over use of in-house judges – FT.com
The latest complaint seeks SEC documents that could help shed light on what critics say is the special treatment reserved for judges who preside over the agency’s administrative proceedings, which have been used to bring cases against SAC Capital founder Steve Cohen, the Big Four accounting firms and large banks like Wells Fargo. via SEC […]
In Corporate Crimes, Individual Accountability Is Elusive – NYTimes.com
Professor Garrett analyzed 303 nonprosecution and deferred prosecution agreements with corporations from 2001 to 2014 in which companies avoided guilty pleas by paying fines and agreeing to other measures. It would seem axiomatic that in all of those cases, individuals actually committed the crimes, since corporations are legal entities and can’t be charged unless their […]
Securities Docket News Wire for February 19, 2015
Get caught up with the Securities Docket News Wire for February 19, 2015.