‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInFormer Top Prosecutor Joins Private Practice – Risk & Compliance Journal. – WSJ
Robert Capers, the former U.S. attorney for the Eastern District of New York, starts Monday as the co-lead of Arent Fox LLP’s government enforcement and white collar practice. He will also join a business compliance and integrity monitorships team at the firm that advises major companies on governance best practices, conducts internal investigations, counsels directors […]
SEC.gov | SEC Exposes Two Initial Coin Offerings Purportedly Backed by Real Estate and Diamonds
The Securities and Exchange Commission today charged a businessman and two companies with defrauding investors in a pair of so-called initial coin offerings (ICOs) purportedly backed by investments in real estate and diamonds. via SEC Exposes Two Initial Coin Offerings Purportedly Backed by Real Estate and Diamonds — SEC Press Release
Three Key Securities Law Cases on Supreme Court’s Docket as Term Begins | The D&O Diary
For almost the entire time that there have even been federal securities laws, the U.S. Supreme Court only rarely and infrequently agreed to take up cases arising securities cases. Until recently, years would pass between the times that securities cases appeared on the Supreme Court’s docket. For some reason, beginning around the middle of the […]
Former Corporate Insider, Middleman Tipper, and Six Traders Charged With Insider Trading — SEC Press Release
The SEC alleges that the six traders purchased a total of approximately 2,000 highly speculative out-of-the-money call options for Life Time Fitness shares and sold those options for profits of approximately $866,209 shortly after a newspaper reported that Life Time Fitness was in advanced merger discussions with two private equity firms. According to the SEC’s […]