‘Enforcement 40’ for 2020
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By Securities Docket on November 30, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for November 29, 2016.
By Securities Docket on November 29, 2016, 9:54 am
Tesla Motors Inc. has come under fire from the Securities and Exchange Commission for using prohibited accounting metrics and sharing that information with investors, according to regulatory correspondence. via SEC Criticizes Tesla Over ‘Tailored’ Accounting – WSJ
By Securities Docket on November 29, 2016, 9:48 am
A former Citigroup Inc. broker in New York sued the bank claiming she was reduced to “a glorified secretary” because of her gender and fired when she reported a superior for violating rules designed to prevent insider trading. via Citigroup ‘Glorified Secretary’ Fired After Accusing Boss – Bloomberg
By Securities Docket on November 29, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for November 28, 2016.
By Securities Docket on November 28, 2016, 10:18 am
We do believe that the detection of illegal insider trading and establishment of the activity to a legal standard is a monumental task that needs to overcome multiple challenges. Ad-hoc whistleblowing procedures, in addition to routine screening of securities trading are useful, but not enough, in our opinion, if the regulators’ pursuit of illegal insider […]
By Securities Docket on November 28, 2016, 10:14 am
In an interesting post on his D&O Discourse blog earlier this fall (here), Doug Greene of the Lane Powell law firm raised the question whether there is a securities litigation storm brewing. Citing a number of different factors ranging from the SEC whistleblower program to changes in the plaintiffs’ bar, Greene suggested that we could […]
By Securities Docket on November 28, 2016, 10:06 am
Companies with effective compliance programs should expect that employees and others will at some point come forward to report potential wrongdoing. After all, internal reporting is one sign their programs are working. If the company determines that there has been a potential violation of the law, it is then faced with a decision that involves […]
By Securities Docket on November 26, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for November 25, 2016.
By Securities Docket on November 25, 2016, 11:29 am
“More than ever, the SEC is developing in-house innovative analytical tools to take advantage of todays data-rich environment,” said White, who took the helm of the SEC in 2013 but will leave at the end of President Barack Obamas term. “The result is that the number of cases we are able to originate in-house has […]