‘Enforcement 40’ for 2020
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By Securities Docket on April 3, 2019, 11:27 am
Lowenstein Sandler announced today that Rachel Maimin, a former Assistant U.S. Attorney in the Southern District of New York, and H. Gregory Baker, a former Senior Counsel in the U.S. Securities & Exchange Commission’s Division of Enforcement Asset Management Unit, have joined the firm as partners in its New York office. via Lowenstein Sandler Boosts […]
By Securities Docket on April 3, 2019, 11:24 am
As part of a continuing effort to assist those seeking to comply with the U.S. federal securities laws, FinHub is publishing a framework for analyzing whether a digital asset is offered and sold as an investment contract, and, therefore, is a security. The framework is not intended to be an exhaustive overview of the law, but […]
By Securities Docket on April 3, 2019, 11:17 am
Andreessen Horowitz will soon cease to be a venture capital firm, veering away from the majority of its Sand Hill Road neighbors in Silicon Valley to instead become a registered investment advisor, or RIA. via Andreessen Horowitz says it will no longer be a venture capital firm.
By Securities Docket on April 3, 2019, 10:45 am
Donald Trump will nominate Allison Herren Lee to fill the open Democratic position at the Securities and Exchange Commission, the White House said on Tuesday. The nomination will bring the SEC back up to five commissioners after the departure of Kara Stein at the beginning of the year. via Trump to nominate Allison Herren Lee […]
By Securities Docket on April 3, 2019, 10:44 am
On March 26, 2019, the SEC announced two multi-million dollar awards to whistleblowers who made reports of misconduct that led to a successful enforcement action after denying claims of five other whistleblowers in the same case (only two appealed the preliminary determination denying their application). SEC Press Release, SEC Awards $50 Million to Two Whistleblowers, No. […]
By Securities Docket on April 3, 2019, 10:23 am
This is one college side hustle a recent Yale grad might be regretting. Omar Zaki, 21, ran a hedge fund while enrolled at the Ivy League university, saying his firm relied on an algorithm that had produced eye-popping returns over a 10-year period, according to the Securities and Exchange Commission. The misrepresentation is one of […]