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Join the Securities Litigation and Enforcement Group on LinkedInThe SEC’S “Outsider Trading” Dragnet — Cybersecurity Docket
But suppose instead, a thief, who does not work at Microsoft, breaks into Microsoft headquarters via a basement window at midnight, reads Microsoft’s CFO’s papers about an upcoming positive earnings announcement and then buys Microsoft stock before that announcement. Is the thief guilty of insider trading? Historically, the SEC did not charge the thief with […]
Wyly brothers’ family fights SEC asset freeze in $550 million fraud | Dallas Morning News
The Wyly brothers used gains from secret, illegal, offshore transactions “as their own personal piggybank,” the SEC had said ahead of a Wednesday appeals hearing in New York, where the family sought to lift a judge-imposed freeze on its assets. U.S. District Judge Shira Scheindlin’s order against 16 people, including both men’s wives and 10 […]
SEC Actions Stir Concerns Over Compliance Officer Liability – Risk & Compliance – WSJ
Two recent U.S. Securities and Exchange Commission enforcement actions have raised concerns that the agency will penalize compliance officers who create rigorous programs, leading to potentially perverse incentives to avoid responsibility for those programs. via SEC Actions Stir Concerns Over Compliance Officer Liability – Risk & Compliance – WSJ
Securities Docket News Wire for June 24, 2015
Get caught up with the Securities Docket News Wire for June 24, 2015.