‘Enforcement 40’ for 2020
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By Securities Docket on March 19, 2015, 9:09 am
In the SEC’s fourth trial of FY 2015, a federal jury found that former NFL wide receiver Willie Gault was not liable on any of the agency’s fraud-related charges against him, but that Gault was liable on three less serious charges.d via SEC Trial Scorecard Update: Jury Returns Mixed Verdict in Willie Gault Case | […]
By Securities Docket on March 19, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for March 18, 2015.
By Securities Docket on March 19, 2015, 8:15 am
In a sign the pipeline for crisis-era cases has largely run dry, the SEC renamed the unit that brought many of its cases for shoddy mortgage securities that allegedly fueled the 2008 financial crisis. The “Structured and New Products Unit” is being renamed the “Complex Financial Instruments” unit, SEC Enforcement Director Andrew Ceresney will tell […]
By Securities Docket on March 19, 2015, 7:31 am
There are reasons to be modest about these types of predictions; there have been past predictions and speculations about possible data breach-related securities lawsuits, but so far, there has been little action in that department. But I do think there are reasons to be concerned that there may be significant securities class action litigation related […]
By Securities Docket on March 19, 2015, 7:26 am
The Securities and Exchange Commission wants to go after companies for mistreating whistleblowers. But defense lawyers think companies may have grounds to challenge the agency’s authority to do this. via SEC Whistleblower Retaliation Push Could Face Challenge – Risk & Compliance – WSJ