‘Enforcement 40’ for 2020
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By Securities Docket on September 1, 2015, 5:38 pm
David R. Fontaine has been named CEO of Corporate Risk Holdings, LLC (formerly known as Altegrity).
By Securities Docket on September 1, 2015, 10:06 am
Many targets of S.E.C. administrative law enforcement actions have sued on the grounds of equal protection, due process and separation of powers, seeking to require the agency to bring its claims to court, if at all. I find these lawsuits unconvincing. Agencies have almost absolute discretion as to whom and how they prosecute, and it […]
By Securities Docket on September 1, 2015, 10:03 am
Rolls-Royce, the crown jewel of British engineering, has been dragged into Brazil’s colossal corruption scandal. The company said it was cooperating with the Brazilian authorities investigating bribery at state-owned oil giant Petrobras. via Rolls-Royce entangled in Brazil’s corruption scandal – CNNMoney
By Securities Docket on September 1, 2015, 10:00 am
The Dodd-Frank Wall Street Reform Act allowed the Securities & Exchange Commission to bring almost any claim that it can file in federal court to its own Administrative Law Judges. The agency has since taken up this power against a panoply of alleged insider traders and other perpetrators of securities fraud. Many targets of SEC […]