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Join the Securities Litigation and Enforcement Group on LinkedInSecurities Docket News Wire for October 26, 2015
Get caught up with the Securities Docket News Wire for October 26, 2015.
Securities Docket News Wire for October 24, 2015
Get caught up with the Securities Docket News Wire for October 24, 2015.
Rep. Garrett Proposes Game-Changing Legislation for SEC APs | Compliance Week
Congressman Scott Garrett’s proposed “Due Process Restoration Act” would provide parties to administrative proceedings with the option to have their case heard in federal court, and also impose a higher burden of proof on the SEC in its APs. via Rep. Garrett Proposes Game-Changing Legislation for SEC APs | Compliance Week.
Securities Docket News Wire for October 23, 2015
Get caught up with the Securities Docket News Wire for October 23, 2015.
Securities Docket News Wire for October 22, 2015
Get caught up with the Securities Docket News Wire for October 22, 2015.
Insider trading charges dropped against SAC’s Steinberg | New York Post
Manhattan US Attorney Preet Bharara on Thursday dismissed all charges against Michael Steinberg, who was convicted by a federal court jury in December 2013 of five counts of insider trading. The move by Bharara was not unexpected, as similar verdicts against Anthony Chiasson and Todd Newman, traders at two other hedge funds, were overturned by […]
SEC Doubles Number of Financial Reporting and Audit Cases in Two Years – The CFO Report – WSJ
The U.S. Securities and Exchange Commission nearly doubled its enforcement actions related to financial reporting and audit fraud over the past two years, the agency’s top cop said Thursday. The agency filed 134 cases in the financial reporting and audit area in its 2015 fiscal year, ended Sept. 30. That’s up from 98 in fiscal […]
No Honeymoon Likely for SEC Chair, New Commissioners – MoneyBeat – WSJ
Securities and Exchange Commission Chairman Mary Jo White does not appear to be in for any honeymoon once two new nominees are confirmed to the five-member board. via No Honeymoon Likely for SEC Chair, New Commissioners – MoneyBeat – WSJ
Securities Docket News Wire for October 21, 2015
Get caught up with the Securities Docket News Wire for October 21, 2015.
Pres. Obama Nominates Fairfax, Peirce as SEC Commissioners | Compliance Week
Yesterday, President Obama announced his intent to nominate Lisa Fairfax and Hester Peirce as Commissioners of the SEC. If confirmed, Fairfax and Peirce will fill the Democrat and Republican seats on the Commission that are being vacated by Commissioners Luis Aguilar and Daniel Gallagher, respectively. via Pres. Obama Nominates Fairfax, Peirce as SEC Commissioners | Compliance […]