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Yesterday, the SEC and the DOJ separately announced significant cases against three Chinese traders who made nearly $3 million in illegal profits by hacking into the computer networks of two “prominent New York-based law firms.” The three men allegedly traded in the securities of at least three public companies based on confidential information they stole from the law firms that […]
Get caught up with the Securities Docket News Wire for December 27, 2016.
Get caught up with the Securities Docket News Wire for December 24, 2016.
Get caught up with the Securities Docket News Wire for December 23, 2016.
Late last month, the SEC announced the departure of Matthew C. Solomon, the Chief Litigation Counsel for the agency’s Enforcement Division. Since September 2013, Solomon had led the Enforcement Division’s litigation program, which includes 48 attorneys in Washington, D.C. and more than 100 additional litigators throughout the SEC’s regional offices. This week, law firm Cleary Gottlieb announced […]
Trump’s jockeying for leverage via his Twitter account is likely to be a hurdle for all U.S. defense contractors in the next administration, Roman Schweizer, aerospace and defense analyst at financial services firm Cowen & Co, wrote in a note to clients on Thursday. “We have no idea how this plays out but believe ‘Twitter […]
Get caught up with the Securities Docket News Wire for December 22, 2016.
Please join Patrick F. Stokes, Sean X. McKessy, F. Joseph Warin, John W.F. Chesley, Erika A. Kelton and Jim Barratt for this free webcast.
A former portfolio manager who was responsible for investing $53 billion in New York State employee retirement funds took over $100,000 in bribes in exchange for steering more than $2 billion in fixed-income business to two brokers, earning them and their firms millions of dollars in commissions, federal authorities said on Wednesday. via Official Took […]
A jury in London found a former executive of construction services company Sweett Group PLC guilty on two counts of destruction of evidence in relation to a bribery and corruption investigation by the Serious Fraud Office. via U.K. Executive Jailed for Destruction of Evidence in Bribery Case – Risk & Compliance Journal. – WSJ