‘Enforcement 40’ for 2020
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By Securities Docket on August 31, 2015, 9:22 am
The three fundamental problems with SEC enforcement are that the Commission and the Division of Enforcement (1) advance legal theories that are outside settled boundaries, (2) misunderstand or mischaracterize the factual record, and (3) fail to accord fair and impartial treatment to persons being investigated. The result is an unacceptably high number of cases that […]
By Securities Docket on August 31, 2015, 9:17 am
Chinese state media announced a slew of confessions on Monday following investigations into recent stock market gyrations, including from a detained reporter who admitted to spreading false information that caused “panic and disorder”. An official from China’s securities regulator had confessed to insider trading while four senior executives from China’s largest brokerage, CITIC Securities , […]
By Securities Docket on August 31, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for August 30, 2015.
By Securities Docket on August 30, 2015, 11:07 am
Nearly six years after the scandal unfolded, HBO is moving forward with a film on the Madoff scandal based on Wizard of Lies, a book by NYT reporter, Diana B. Henriques. Robert De Niro will play the role of Bernard Madoff and Henriques will play herself in the movie. via De Niro to Play Bernard […]
By Securities Docket on August 29, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for August 28, 2015.
By Securities Docket on August 28, 2015, 1:59 pm
Recently, respondents challenging the SEC’s ability to bring administrative proceedings have had success in two cases in federal district court. This week the Seventh Circuit became the first appellate court to weigh in on this issue, and found in favor of the SEC. The Seventh Circuit held in Bebo v. SEC that the district court […]
By Securities Docket on August 28, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for August 27, 2015.
By Securities Docket on August 28, 2015, 8:49 am
The judge found on Thursday that Mr. Murdock, the company’s chief executive, and a top lieutenant fraudulently drove down the company’s stock price so he could buy the business at a cheaper price in its 2013 leveraged buyout. In his opinion, Vice Chancellor J. Travis Laster of the Court of Chancery in Delaware ordered Mr. […]
By Securities Docket on August 27, 2015, 9:19 am
Now, in a letter delivered to the SEC’s Director of Enforcement Andrew Ceresney, copied to sitting commissioners, the National Society of Compliance Professionals, a trade group for compliance professionals, is seeking assurances that only intentional and reckless behavior is grounds for action against a CCO. via Trade Group Suggests Guidelines for CCO Enforcement Actions | […]