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‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInFinra enforcement chief Brad Bennett to resign — Investment News
J. Bradley Bennett, Finra executive vice president and chief of enforcement, will leave the organization early next year, the broker-dealer self-regulator announced Thursday morning. Finra has named Susan Schroeder, deputy head of enforcement, as acting chief while it conducts a search for Mr. Bennett’s replacement. via Finra enforcement chief Brad Bennett to resign — Investment News
Trump’s businesses could trip insider-trading law – POLITICO
Democrats are exploring a new strategy to pressure Donald Trump over his business conflicts of interest, arguing that an insider trading law would make it a crime for him to profit on information he learns as president. The STOCK Act, adopted in 2012, was designed to restrict insider trading by members of Congress and their […]
Top White-Collar SDNY Prosecutor to Join Milbank – Law Blog – WSJ
Katherine Goldstein is stepping down as chief of the securities fraud unit in the Manhattan U.S. attorney’s office to become a partner at Milbank, Tweed, Hadley & McCloy LLP. Ms. Goldstein, who has worked as a federal prosecutor for 12 years, will leave the government next month. via Top White-Collar SDNY Prosecutor to Join Milbank […]
Securities Docket News Wire for December 14, 2016
Get caught up with the Securities Docket News Wire for December 14, 2016.