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Join the Securities Litigation and Enforcement Group on LinkedInSecurities Docket News Wire for June 29, 2016
Get caught up with the Securities Docket News Wire for June 29, 2016.
SEC’s Dabney O’Riordan Named Co-Chief of Asset Mgmt Unit | Compliance Week
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 […]
GC Dropped Nearly $40K of Company Funds at Gentlemen’s Club, SEC Says | Big Law Business
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 […]
Securities Docket News Wire for June 28, 2016
Get caught up with the Securities Docket News Wire for June 28, 2016.
Australia: An Increasingly Attractive Plaintiffs’ Forum for Securities Class Actions — Quinn Emanuel
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 […]
Securities Docket News Wire for June 27, 2016
Get caught up with the Securities Docket News Wire for June 27, 2016.
Securities Docket News Wire for June 23, 2016
Get caught up with the Securities Docket News Wire for June 23, 2016.
July 14 Webcast: The Department of Labor’s New Conflict of Interest Regulations–A Game Changer for the Financial Services Industry
Please join Brad Bondi and Michael Wheatley of Cahill Gordon & Reindel for this free webcast.
Is the SEC Creeping Between Law Firms, Auditors and Public Companies? (Perspective) | Big Law Business
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 […]
‘Hold’ everything: SEC may be stuck at three commissioners for a while | Compliance Week
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 […]