‘Enforcement 40’ for 2020
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By Securities Docket on June 1, 2016, 9:48 am
Nevertheless, it appears that the SEC is once again paying increased attention to financial reporting cases. In 2015, the SEC brought enforcement cases against 191 parties (in contrast to 128 parties in 2014), a significant increase over prior years. Simply scanning the list of settled enforcement cases supports SEC Chair White’s recent statement that the […]
By Securities Docket on June 1, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for May 31, 2016.
By Securities Docket on June 1, 2016, 8:51 am
… While dismissing the complaint, the court held that “a government investigation, without more, does not trigger a generalized duty to disclose” and the defendants “did not have a duty to disclose … because the securities laws do not impose an obligation on a company to predict the outcome of investigations. There is no duty […]
By Securities Docket on June 1, 2016, 7:49 am
He arrived in plain jail clothes, shackles around his ankles, the humbled former leader of America’s largest public pension fund ready to accept his punishment for taking bribes. He left with a prison term of 4 1/2 years. Fred Buenrostro, the former chief executive of CalPERS, was sentenced Tuesday by a federal judge who called his […]