Subscribe
‘Enforcement 40’ for 2020
Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn
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 […]
Securities Docket News Wire for June 22, 2016
Get caught up with the Securities Docket News Wire for June 22, 2016.
After setbacks, N.Y. prosecutors resume insider trading crackdown | Reuters
Federal prosecutors in Manhattan are pursuing insider trading cases on a pace not seen since 2012 – before a major appellate ruling limited their ability to bring charges against hedge fund managers and other traders. So far this year, U.S. Attorney Preet Bharara, known for high-profile prosecutions of wrongdoing on Wall Street, has announced charges […]