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Join the Securities Litigation and Enforcement Group on LinkedInSecurities Docket News Wire for January 29, 2016
Get caught up with the Securities Docket News Wire for January 29, 2016.
DVR Alert: ABC’s ‘Madoff’ Miniseries Airs February 3-4 | Compliance Week
On February 3-4, “Madoff,” ABC’s miniseries on Bernard Madoff’s massive Ponzi scheme, will be aired at 8 pm Eastern. Madoff stars Richard Dreyfuss as Bernie Madoff and Blythe Danner as his wife, Ruth. via DVR Alert: ABC’s ‘Madoff’ Miniseries Airs February 3-4 | Compliance Week
Dawn Bennett Refuses to Attend ‘Kangaroo’ AP, SEC Proceeds Without Her | Compliance Week
Yesterday, a financial advisor who is the respondent in an SEC administrative proceeding announced that she is employing a new tactic to challenge the SEC’s controversial in-house court: refusing to attend. via Dawn Bennett Refuses to Attend ‘Kangaroo’ AP, SEC Proceeds Without Her | Compliance Week
Ex-Fannie Mae boss’s lawyer: SEC lacks civil fraud evidence – Houston Chronicle
A former Fannie Mae top executive didn’t mislead investors about the mortgage giant’s exposure to subprime mortgages just before the housing bubble burst and should not face a civil trial in Manhattan, his lawyer said Wednesday. Attorney John Keker asked U.S. District Judge Paul Crotty to dismiss civil fraud charges brought four years ago against […]
The Serious Fraud Office’s chequered history – Telegraph
The acquittal of five Libor defendants is the latest blow to the Serious Fraud Office’s track record. While it has secured some high-profile sentences since its creation in the 1988, and its conviction rate last year was 78pc, a string of mis-steps has earned it a reputation as the ‘Seriously Flawed Office’ in some quarters. […]
Securities Docket News Wire for January 27, 2016
Get caught up with the Securities Docket News Wire for January 27, 2016.
Insider Settlement Against Chiasson Fund Wiped Out | Bloomberg BNA
A federal judge Jan. 26 ordered the SEC to pay back $21.5 million from a prior settlement with Level Global Investors Ltd. in light of a Second Circuit decision that overturned fund co-founder Anthony Chiasson’s insider trading conviction. via Insider Settlement Against Chiasson Fund Wiped Out | Bloomberg BNA
SEC Expands Cybersecurity Compliance Requirements For 2016 | Password Protected
On January 11, 2016, the Securities and Exchange Commission announced the 2016 examination priorities list. For the third year in a row, cybersecurity is a top concern, especially with regard to internal security program assessment and evaluation. This year the Office of Compliance Inspections and Examinations (OCIE) will focus on cybersecurity protocols implemented by financial […]
Securities Docket News Wire for January 26, 2016
Get caught up with the Securities Docket News Wire for January 26, 2016.
Level Global Case Continues to Rewind | Compliance Week
Watching developments in the Level Global insider trading case — which fell apart after the Second Circuit’s landmark decision in Newman resulted in the conviction of its co-founder and another defendant being overturned — feels like watching a movie rewind. via Level Global Case Continues to Rewind | Compliance Week