‘Enforcement 40’ for 2020
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By Securities Docket on August 23, 2016, 4:05 pm
To effectively protest Wall Street fraud and collusion Mr. Ben-Artzi shouldn’t ask that his award be given to the bank and shareholders. After all they profited from this financial fraud too and the bank was complicit in the wrongdoing. As an alternative, he could collect the award and donate a portion of it to fight […]
By Securities Docket on August 23, 2016, 11:25 am
I thought video marketing in the securities enforcement practice area would have become commonplace years ago, but legal marketing in this and most other fields of law is still completely dominated by written client memos. A series of enforcement-focused videos launched this summer by one law firm is an interesting twist on marketing that allows […]
By Securities Docket on August 23, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for August 22, 2016.
By Securities Docket on August 20, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for August 19, 2016.
By Securities Docket on August 19, 2016, 11:05 am
The SEC’s enforcement activity so far this fiscal year trails the record levels in the 2015 fiscal year. According to a recent report from Cornerstone Research (here), the SEC’s enforcement activity through the end of the fiscal third quarter (on June 30, 2016) is eight percent below the activity levels during the same period in […]
By Securities Docket on August 19, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for August 18, 2016.
By Securities Docket on August 18, 2016, 12:30 pm
All of this leads me to conclude the DOJ (as well as the Securities and Exchange Commission (SEC)) want to see compliance moved out into the business. This means that Chief Compliance Officers (CCO’s) will need to move past the thinking that simply having a compliance program will be enough to make compliance effective. You […]
By Securities Docket on August 18, 2016, 12:28 pm
The SEC’s action, which remains pending, seeks an injunction against Sean Stewart and Robert Stewart from further violations of the charged provisions of the federal securities laws, disgorgement of ill-gotten gains, civil penalties, and an officer and director bar against Robert Stewart. via Defendant in SEC Insider Trading Action Found Guilty by Federal Jury in […]
By Securities Docket on August 18, 2016, 12:25 pm
The Securities and Exchange Commission is serious about stamping out problematic severance agreements. In less than one week, two companies have had to pay fines to resolve commission allegations that their severance agreements violated whistle-blower protection rules. via SEC Has Laser Focus on Severance Agreements | Bloomberg BNA.