‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInVanguard Says Sending 71 Account E-Mails to Wrong Investor Was ‘Isolated Matter’ – TheStreet
Experts on Internet security say it’s a troubling error. “It certainly raises questions as to whether they are properly safeguarding customers’ information,” said John Reed Stark, a Maryland-based consultant who is former chief of the SEC’s Office of Internet Enforcement. “The SEC has made it clear that protecting customer information is a priority,” Stark said. […]
Former Sarclad employees charged with bribery and corruption – Serious Fraud Office
Michael Sorby, former Director and Adrian Leek, former Sales Manager, of Sarclad Limited, appeared before Westminster Magistrates’ Court today, charged with bribery and corruption offences. Michael John Sorby, 72 and Adrian Firmin Leek, 39, of Sheffield, were both charged with one count of conspiracy to corrupt, contrary to section 1 Prevention of Corruption Act 1906 […]
Rep. Garrett ‘Distressed’ by SEC’s Faith in AP Process | Compliance Week
At a recent conference, an SEC official defended the agency’s use of administrative proceedings and flatly dismissed the notion that the SEC was using APs in order to gain a “home court advantage.” Rep. Scott Garrett didn’t like that one bit. via Rep. Garrett ‘Distressed’ by SEC’s Faith in AP Process | Compliance Week.
Securities Docket News Wire for February 24, 2016
Get caught up with the Securities Docket News Wire for February 24, 2016.
Rob Cohen Discusses SEC’s Analysis and Detection Center | Cady Bar the Door
And, Cohen said last Friday, the Market Abuse Unit has filed five insider trading cases generated from the Center over the last year. This is noteworthy. Here is one of the cases, and here is another one. Lexis doesn’t tell me about the other two. But what I want to know is, what data do […]