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‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInThe Insider Trading Cartoon Series, Vol. 14 — United States v. Newman (Part 1) | Brooks Pierce
The U.S. Court of Appeals for the Second Circuit shook the insider trading world in 2014 when it issued United States v. Newman, 773 F.3d 438 (2d Cir. 2014). The court addressed the knowledge required for liability of remote tippees and what a personal benefit means in tipping cases. I think the decision in that […]
Enforcement Chief to Step Down at Financial Derivatives Regulator – The New York Times
One of the Obama administration’s few remaining Wall Street enforcers is stepping down. Aitan Goelman, head of the Commodity Futures Trading Commission’s enforcement division, announced his departure on Wednesday during a broad exodus of prosecutors and regulators in the Obama administration’s final days. via Enforcement Chief to Step Down at Financial Derivatives Regulator – The […]
Rolls-Royce to Pay $817 Million to Resolve Bribery and Graft Inquiries – The New York Times
Rolls-Royce, the maker of jet engines and other power systems, said on Monday that it had agreed to pay $817 million to resolve several long-running bribery and corruption inquiries. The company said that it had reached so-called deferred prosecution agreements with the Serious Fraud Office of Britain, as well as the United States Department of […]
GM to pay $1 million to resolve SEC accounting case — Reuters
General Motors has agreed to pay $1 million to resolve a U.S. Securities and Exchange Commission accounting case related to a faulty ignition switch linked to 124 deaths and 275 injuries, the regulator said on Wednesday. The deal would resolve charges that accounting control failures at the automaker prevented GM from properly assessing the potential […]
Securities Defense Bar Praises Trump SEC Pick | The American Lawyer
Attorneys said they wouldn’t be surprised if Clayton, once confirmed, selects a former prosecutor at Sullivan & Cromwell to head the enforcement division, much as White chose a Debevoise & Plimpton colleague, Andrew Ceresney, to lead the division. Hunter and others noted that Clayton has a number of experienced partners at Sullivan & Cromwell who […]
Brad Karp: From Dreams of Congress to Chair of Paul Weiss | Big Law Business
Brad Karp, chair of Paul, Weiss, Rifkind, Wharton & Garrison, has worked at the firm his entire professional career. Today, his clients include major banks such as Citigroup and the National Football League, and he continues to practice while growing the firm, which was the second most profitable in the U.S. in 2016. Below is […]
Securities Docket News Wire for January 17, 2017
Get caught up with the Securities Docket News Wire for January 17, 2017.