Daily Archives: October 2, 2017, 9:56 am

Former 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 and creates corporate compliance programs.…

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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 last decade, the Court has…

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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 complaint, Bonvissuto and Kourtis shared…

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