‘Enforcement 40’ for 2020
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By Securities Docket on February 10, 2016, 2:43 pm
C. Dabney O’Riordan and Alka Patel have been named Associate Directors for Enforcement in the SEC’s Los Angeles Regional Office, where they will oversee that office’s enforcement’s efforts in southern California, Arizona, Nevada, and Hawaii. via SEC Names O’Riordan and Patel Associate Dirs. for Enforcement in L.A. | Compliance Week
Posted in SEC, Top | Tagged Lawyers, Regulators
By Securities Docket on February 10, 2016, 10:21 am
In a recent decision, the Ninth Circuit addressed for a second time the question of whether an issuer’s disclosure of a Securities and Exchange Commission investigation can provide a sufficient basis for a plaintiff to plead “loss causation” in a securities class action. The court’s ruling – that disclosure of an investigation combined with “a […]
Posted in SEC, Top | Tagged Disclosure
By Securities Docket on February 10, 2016, 10:03 am
The development made us reflect on a number of other Big Law lawyers and employees who have faced insider trading charges in the past. With constant access to corporate information, lawyers can feel the urge to use it to their own financial advantage. We compiled a list of some of the lawyers and employees who have been caught […]
Posted in Criminal, SEC, Top | Tagged Insider Trading, Lawyers
By Securities Docket on February 10, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for February 9, 2016.