‘Enforcement 40’ for 2020
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By Securities Docket on September 16, 2016, 1:26 pm
This week, following a two-week trial, a federal jury in Miami found that the City of Miami and its former Budget Director committed securities fraud in connection with their disclosures concerning the deteriorating financial condition of the City during 2007 and 2008, and in three separate municipal securities offerings in 2009. via 2016 SEC trial […]
By Securities Docket on September 16, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for September 15, 2016.
By Securities Docket on September 16, 2016, 8:49 am
As the SEC’s latest enforcement actions demonstrate, the SEC interprets the prohibition against restricting an employee’s ability to provide information about a possible securities violation to the SEC Section 21F-17 quite broadly. Thus, as the law on this topic develops, employees should be vigilant of the prohibitions that their employer’s place on their ability to […]
By Securities Docket on September 16, 2016, 8:48 am
As a result of the SEC probe and despite public warnings, the SEC has now announced approximately a dozen actions against PE managers, including some of the largest and most prominent firms. Penalties, including disgorgement and fines now total nearly $150 million in settled cases. via INSIGHT: SEC delivering on promise to scrutinize private equity […]