‘Enforcement 40’ for 2020
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By Securities Docket on April 5, 2017, 9:42 am
Securities class action lawsuit filings have been going crazy. Securities suit filings during the first quarter 2017 set a pace that if continued would mean an unprecedented number of securities lawsuit by year end. But even more significant than the sheer number of lawsuits is the rate of litigation. The percentage of listed companies sued […]
By Securities Docket on April 5, 2017, 9:36 am
A Boston-area man has agreed to pay more than $590,000 to settle U.S. insider trading charges over a deal he learned about from his former romantic partner, a Wells Fargo & Co analyst he met while salsa dancing. The U.S. Securities and Exchange Commission announced the settlement on Monday with Vlad Spivak, a resident of […]
By Securities Docket on April 5, 2017, 9:35 am
The Securities and Exchange Commission today announced that Kara Novaco Brockmeyer, Chief of the Enforcement Division’s Foreign Corrupt Practices Act (FCPA) Unit, is planning to leave the agency later this month. via Kara Novaco Brockmeyer, Chief of FCPA Unit, to Leave SEC After 17 Years of Service.
By Securities Docket on April 5, 2017, 9:33 am
A Senate panel has cleared the nomination of Jay Clayton, the Wall Street attorney chosen by President Donald Trump to lead the Securities and Exchange Commission. The vote was 15-8 Tuesday by the Senate Banking Committee, as three Democrats joined the panel’s Republicans in approving Clayton. The confirmation of Clayton to head the independent agency […]
By Securities Docket on April 5, 2017, 9:31 am
The National Law Journal recently talked with Khuzami about trends in enforcement of white-collar crime and what lies ahead for federal regulatory agencies under the Trump administration. Excerpts from our interview, edited for clarity and length, follow. via Ex-SEC Enforcer Khuzami Foresees Changes for Whistleblowers | National Law Journal