‘Enforcement 40’ for 2020
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By Securities Docket on September 15, 2015, 9:59 am
Of the many government agencies and departments, I really only follow the SEC closely. And so I ask in all sincerity … is there anyone leading a government agency who gets the kind of “creative” criticism that now appears to come with job when you are Chairman of the SEC? via Advocacy Group Rolls Out […]
By Securities Docket on September 15, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for September 14, 2015.
By Securities Docket on September 15, 2015, 7:59 am
The Securities and Exchange Commission today announced that Ukrainian-based Jaspen Capital Partners Limited and CEO Andriy Supranonok have agreed to pay $30 million to settle allegations they profited from trading on non-public corporate information hacked from newswire services. The SEC announced charges in August against 34 defendants who allegedly took part in a scheme in […]
By Securities Docket on September 15, 2015, 7:55 am
In the recently announced Foreign Corrupt Practices Act enforcement action against Daren Condrey (see here for the prior post), the DOJ advanced an extremely broad “foreign official” interpretation. In short, the DOJ alleged that a Maryland resident (Vadim Mikerin), working for a Maryland corporation (TENAM Corporation), was a Russian “foreign official.” How? via Analyzing The […]
By Securities Docket on September 15, 2015, 7:39 am
The U.S. Securities and Exchange Commission’s controversial use of in-house judges to enforce federal securities laws is about to undergo a major test. The 2nd U.S. Circuit Court of Appeals in New York on Wednesday will hear arguments over whether to revive a lawsuit by Lynn Tilton, a private equity chief dubbed the “Diva of […]