Subscribe
‘Enforcement 40’ for 2020
Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedInSEC Names Christopher Hetner as Senior Advisor on Cybersecurity | Compliance Week
Just two weeks after SEC Chair Mary Jo White identified cybersecurity as the “biggest risk facing the financial system,” the SEC further strengthened its focus in this area by naming Christopher R. Hetner to the newly-created position of Senior Advisor to the Chair for Cybersecurity Policy. via SEC Names Christopher Hetner as Senior Advisor on Cybersecurity […]
The ‘I did not apply my mind’ defense to insider trading | Compliance Week
In the U.S., we are pretty firm on the concept that “Ignorance of the law is no excuse.” And I would argue the U.S. is even more firmly against the novel concept of “I knew about the law, but I just wasn’t thinking about it at the time and now I’m sorry for violating it.” […]
Securities Docket News Wire for June 1, 2016
Get caught up with the Securities Docket News Wire for June 1, 2016.
Oliver Curtis guilty of $1.4m insider trading scheme – Yahoo7
Oliver Curtis, husband of Sydney publicist Roxy Jacenko, has been found guilty conspiracy to commit insider trading following a high-profile New South Wales Supreme Court trial. A Supreme Court jury found Curtis, 30, guilty of insider trading after a 12-day trial and deliberations spanning two days. He was charged with conspiring with ex-best friend John […]
Tilton’s Challenge to SEC Hearings Rejected by Appeals Court – Bloomberg
Patriarch Partners founder Lynn Tilton lost her challenge to the U.S. Securities and Exchange Commission’s use of in-house judges, after arguing the process is unfair and unconstitutional. The federal appeals court in New York agreed with the lower court that the agency can pursue its case against Tilton internally. If the fund manager were to lose, […]
Miami digs in against SEC as securities fraud civil trial looms | Miami Herald
A civil securities fraud case against the city of Miami is coming to a conclusion this summer, nearly seven years after federal investigators began probing a series of questionable accounting maneuvers that temporarily masked a mounting financial crisis at the city. And though evidence suggests Miami officials temporarily shifted highly restricted funds into bleeding operating […]