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Join the Securities Litigation and Enforcement Group on LinkedInEx-Cantor trader alleges unethical trading practices at firm | Financial Times
A former high-yield trader is suing Cantor Fitzgerald for £1.2m in a British employment tribunal case, claiming he was unfairly dismissed after raising whistleblowing concerns about alleged unethical trading practices at the New York-based investment bank. via Ex-Cantor trader alleges unethical trading practices at firm | Financial Times.
María González Calvet Joins Ropes & Gray’s Anti-Corruption and International Risk Team in Washington, D.C. | Ropes & Gray LLP
…[L]aw firm Ropes & Gray has added María González Calvet, a former prosecutor and in-house counsel at a Fortune 100 company, to its market-leading anti-corruption and international risk practice. Ms. Calvet joins today as a partner in the firm’s Washington, D.C. office. via María González Calvet Joins Ropes & Gray’s Anti-Corruption and International Risk Team […]
SEC Reaches Financial Settlements With Ex-Dewey & LeBoeuf Leaders | New York Law Journal
Steven Davis, a former chairman of Dewey & LeBoeuf, has agreed to pay a $130,000 civil penalty in a settlement with the U.S. Securities and Exchange Commission, according to newly filed court papers, the largest fine so far to come out of the SEC’s case against five leaders of the now-defunct firm. via SEC Reaches […]
New Director of Serious Fraud Office Lays Out Approach – thebriberyact.com
After less than a week on the job, Lisa Osofsky, new director of the UK’s Serious Fraud Office (SFO), set out her approach to the role in a wide-ranging speech at the Cambridge Economic Crime Symposium. Three areas of focus stood out in her Sept. 3 speech: first, a doubling down on the increasingly U.S. […]
SEC Wall Street Cops See Staff Drop Since Trump Election | Bloomberg Law
The main SEC group responsible for policing Wall Street has hired only five new staffers despite losing more than three dozen since the waning days of the Obama administration, according to a Bloomberg Law review of agency records. The Enforcement Division departures — the most in any Securities and Exchange Commission group — come amid […]
SEC Is Back at Full Strength With Five Members – WSJ
The Senate confirmed Elad Roisman to join the Securities and Exchange Commission, giving the regulator a fifth and final member as it prepares to impose restrictions on stockbroker advice while loosening the reins on some public companies. Mr. Roisman, 37 years old, will join the SEC after working for several years on the Senate Banking […]
Elon Musk reportedly hires lawyer who used to work for SEC – Business Insider
One of the lawyers Musk reportedly retained, Roel Campos, was an SEC commissioner from 2002 until 2007. Campos is a partner at the firm Hughes Hubbard & Reed and lists securities enforcement, securities litigation, and regulatory cases among his areas of focus on the firm’s website. Musk has also reportedly retained Steven Farina, a partner […]
Former SEC Commissioner Michael Piwowar To Lead Milken Institute Center For Financial Markets
Michael Piwowar, Ph.D., the respected economist and longtime commissioner of the U.S. Securities and Exchange Commission (SEC), has been named executive director of the Milken Institute Center for Financial Markets.Michael Piwowar, who served on the Securities and Exchange Commission from 2013-2018, has been named executive director of the Milken Institute Center for Financial Markets. via […]