‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn
You are browsing the site archives by date.
By Securities Docket on April 1, 2015, 3:59 pm
Today, the SEC announced that it has filed its first enforcement action against a company for what the agency has previously labeled “pre-taliation,” i.e., using confidentiality agreements or other agreements to potentially stifle the whistleblowing process. via SEC Brings First Action Alleging Whistleblower ‘Pre-taliation’ | Compliance Week
By Securities Docket on April 1, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for March 31, 2015.
By Securities Docket on April 1, 2015, 8:48 am
… On Friday an options trader made more than $2.4 million based on a single tweet in just 28 minutes. Nice work if you can get it, which you probably can’t. via How one trader made $2.4 million off a tweet – Fortune