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SEC’s $22 million award to whistleblower pushes program’s total over $100 million | Compliance Week

By on August 30, 2016, 6:11 pm

The SEC’s Office of the Whistleblower has been cranking out major awards all summer, and it did so again today in a big way: an award of more than $22 million that now becomes the second-largest award ever issued by the SEC. With today’s award, the agency’s awards to whistleblowers have now surpassed $100 million. […]

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Securities Docket News Wire for August 29, 2016

By on August 30, 2016, 8:55 am

Get caught up with the Securities Docket News Wire for August 29, 2016.

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Securities Docket News Wire for August 26, 2016

By on August 27, 2016, 8:55 am

Get caught up with the Securities Docket News Wire for August 26, 2016.

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Must-read: Fortune’s ‘Overturned–The Hedge Fund Trader Who Beat the Feds’ | Compliance Week

By on August 26, 2016, 3:33 pm

The September 1, 2016 issue of Fortune has a terrific article by William D. Cohan about former hedge fund manager Todd Newman entitled, “Overturned: The Hedge Fund Trader Who Beat the Feds.” Newman, you may recall, was the defendant in a hugely important insider trading decision — U.S. v. Newman — that has had a major impact on how prosecutors […]

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Securities Docket News Wire for August 25, 2016

By on August 26, 2016, 8:55 am

Get caught up with the Securities Docket News Wire for August 25, 2016.

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10 years later, fugitive CEO pleads guilty to options backdating | Compliance Week

By on August 25, 2016, 3:07 pm

Although the days of “options backdating” prosecutions and SEC enforcement actions are long past, one notable case has remained on the back burner: the case against former Comverse Technology Inc. CEO Jacob “Kobi” Alexander, a fugitive in Namibia since 2006. That ended this week, with Alexander’s appearance before an unsympathetic federal judge. via 10 years later, fugitive CEO pleads […]

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Securities Docket News Wire for August 24, 2016

By on August 25, 2016, 8:55 am

Get caught up with the Securities Docket News Wire for August 24, 2016.

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Standard Chartered’s Investigations Head Leaves Bank for FCA – Bloomberg

By on August 24, 2016, 1:47 pm

The head of Standard Chartered Plc’s internal investigations unit has left the bank to join the Financial Conduct Authority, according to the U.K. regulator. Michael Welch, who previously ran the FBI’s international operations, was appointed the FCA’s director of retail and regulatory investigations this month, a spokesman for the regulator said. He will report to […]

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Securities Docket News Wire for August 23, 2016

By on August 24, 2016, 8:55 am

Get caught up with the Securities Docket News Wire for August 23, 2016.

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Sean Stewart Jurors Were Hung Up on ‘What Did He Get Out of It?’ – Bloomberg

By on August 23, 2016, 5:09 pm

For much of five days of deliberations, a jury that ultimately convicted former Perella Weinberg Partners LP managing director Sean Stewart of insider trading was stuck on one important question. What did he get out of it? via Sean Stewart Jurors Were Hung Up on ‘What Did He Get Out of It?’ – Bloomberg

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