‘Enforcement 40’ for 2020
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By Securities Docket on April 25, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for April 24, 2015.
By Securities Docket on April 24, 2015, 11:54 am
Having already left his mark on how the SEC handles settlements, U.S Judge Jed Rakoff now appears to be focused on another key securities enforcement issue: the definition of insider trading. via Judge Rakoff’s New Securities Law Focus: Re-Defining Insider Trading | Compliance Week
By Securities Docket on April 24, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for April 23, 2015.
By Securities Docket on April 23, 2015, 10:59 am
The U.S. Attorney’s Office for the Southern District of New York has named Katherine Goldstein as Chief and Telemachus Kasulis as Deputy Chief of that office’s Securities and Commodities Fraud Task Force. via SDNY Names New Chief, Deputy Chief of Securities Fraud Task Force | Compliance Week
By Securities Docket on April 23, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for April 22, 2015.
By Securities Docket on April 23, 2015, 7:43 am
The alleged mastermind behind a $40 million trading scheme that nearly brought the US stock market to its knees one day in May 2010 was still living with his parents and driving a broken down car. Navinder Singh Sarao — who as a 32-year-old day trader allegedly helped cause $1 trillion in market value to […]
By Securities Docket on April 23, 2015, 7:41 am
Brazil’s Petrobras has put a price tag on its massive corruption scandal, writing off $2 billion for bribery-related costs via Brazil’s Petrobras: We lost $2 billion to bribery – CNNMoney
By Securities Docket on April 23, 2015, 7:39 am
On balance, the result was favorable for Goodyear, as it escaped paying a fine for its conduct. In this respect, the case highlights the benefits when a company cooperates with the SEC. It also underscores, however, the risks of inadequate due diligence in acquisitions, which is perhaps the most significant takeaway from the settlement for […]
By Securities Docket on April 23, 2015, 7:31 am
The Securities and Exchange Commission today awarded more than $1 million to a compliance officer who provided information that assisted the SEC in an enforcement action against the whistleblower’s company. via SEC Issues Whistleblower Award to Compliance Officer | Compliance Week
By Securities Docket on April 22, 2015, 12:25 pm
We explore below the impact of Newman on tips to friends, a common scenario in insider trading prosecutions. We also look at how lower courts have reacted to Newman and have already rejected the SEC’s argument that Newman does not apply to insider trading cases brought under the misappropriation theory. We conclude that the government […]