‘Enforcement 40’ for 2020
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By Securities Docket on August 26, 2015, 10:23 am
An unusual insider trading prosecution brought under a provision of SOX (rather than Section 10(b) of the Exchange Act) suggests that prosecutors are seeking a “Plan B” in the wake of the Second Circuit’s disruptive decision in U.S. v. Newman. via Plan B? Feds Pursue Insider Trading Charges Under SOX Provision | Compliance Week.
By Securities Docket on August 26, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for August 25, 2015.
By Securities Docket on August 26, 2015, 8:39 am
In other words, the underlying activity is legal and socially acceptable in most situations. In fact, it is often called effective sales and marketing, wining and dining the customer, or maintaining good will. Yet when such activity is focused, directly or indirectly, on a “foreign official” the U.S. government is inclined to call it bribery. […]
By Securities Docket on August 26, 2015, 8:37 am
A federal appeals court on Monday handed the U.S. Securities and Exchange Commission a victory in its use of in-house enforcement proceedings, rejecting a challenge by a former chief executive of Assisted Living Concepts Inc. The 7th U.S. Circuit Court of Appeals in Chicago agreed with U.S. District Judge Rudolph Randa in Milwaukee that it […]
By Securities Docket on August 26, 2015, 8:36 am
A San Francisco investment banking analyst and two of his friends were arrested Tuesday morning for acquiring more than $600,000 on the stock market in an insider trading scheme, U.S. Justice Department officials said. via San Francisco Banking Analyst, 2 Others Arrested In Alleged Insider Trading Scheme « CBS San Francisco
By Securities Docket on August 25, 2015, 9:12 am
An acquittal in an insider trading case is no longer much of a “man bites dog” story, even when the United States attorney hailed the indictment, proclaiming that “sooner or later, you will be brought to justice.” But the jury verdict last week in Atlanta in favor Steven E. Slawson, co-founder of the hedge fund […]
By Securities Docket on August 25, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for August 24, 2015.
By Securities Docket on August 24, 2015, 9:27 am
As highlighted several times on FCPA Professor, there are two distinct questions that can be asked in connection with many instances of Foreign Corrupt Practices Act scrutiny and enforcement. The first is whether, given the DOJ’s and/or SEC’s enforcement theories, the conduct at issue can expose a company to FCPA scrutiny and an FCPA enforcement action? […]
By Securities Docket on August 24, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for August 23, 2015.
By Securities Docket on August 23, 2015, 1:09 pm
Transparency International released its 11th annual OECD progress report last week. TI found that of the 41 countries that have agreed to make foreign bribery a crime for which individuals and enterprises are responsible, there is active enforcement in only four countries and little or no enforcement in 20 countries. via Report Shows Global Enforcement […]