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Get caught up with the Securities Docket News Wire for June 29, 2016.
Yesterday, C. Dabney O’Riordan of the SEC’s Los Angeles Regional Office was named co-chief of the Division of Enforcement’s Asset Management Unit. She fills the co-chief role left vacant when Marshall Sprung left the agency in April 2016 to join Blackstone Group LP as a managing director and the firm’s global head of compliance. via SEC’s Dabney O’Riordan […]
Wall Street’s top cop has charged the general counsel of a Texas-oil and gas company with violating a bevy of securities laws, including dropping almost $40,000 of company funds in a four-day period in 2014 at a Dallas gentlemen’s club. Jeremy Wagers, general counsel chief operating officer of Breitling Energy Corp, faces charges that he violated anti-fraud and reporting provisions […]
Get caught up with the Securities Docket News Wire for June 28, 2016.
The United States has long been the primary home for securities class actions around the world. This trend, however, was curtailed to some degree with the Supreme Court decision in Morrison v. National Australia Bank, 130 S. Ct. 2869, 2886 (U.S. 2010), which made it more difficult for international litigants in securities class actions to sue in […]
Get caught up with the Securities Docket News Wire for June 27, 2016.
Get caught up with the Securities Docket News Wire for June 23, 2016.
Please join Brad Bondi and Michael Wheatley of Cahill Gordon & Reindel for this free webcast.
Like many auditors, Berman had inserted a clause into his contract that required MusclePharm to pay his legal expenses in the event of such an investigation. But the SEC didn’t like that arrangement. This March, the SEC filed an action against him, in effect telling Berman to pay his own legal expenses if he wanted to be considered an independent […]
Instead of trying to come up with new ways to repeatedly express public “disappointment” in the SEC, perhaps the U.S. Senate could simply do its own job and vote on the two nominees that President Obama nominated to join the Commission back in October 2015? Yes? No? Maybe? via ‘Hold’ everything: SEC may be stuck […]