‘Enforcement 40’ for 2020
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By Securities Docket on October 25, 2019, 8:09 am
Two former government attorneys and a White & Case white-collar partner have formed Fridman Fels & Soto, a Coral Gables boutique focused on white-collar defense, internal investigations, and civil litigation. via El Chapo Prosecutor, Senior SEC Official and White & Case Partner Launch White-Collar Boutique | Daily Business Review.
By Securities Docket on October 25, 2019, 8:04 am
But as David Erickson, a senior finance fellow at Wharton business school, puts it, the problem with blaming the bankers “is that you don’t get hired for telling somebody that their baby’s ugly”. So we should spare a moment to remember the board, which has a responsibility to provide the kind of ugly-baby feedback that […]
By Securities Docket on October 25, 2019, 8:02 am
Snap Inc said on Wednesday that the U.S Department of Justice and the Securities and Exchange Commission were no longer investigating whether the company misled investors at the time of its March 2017 initial public offering. via Snap says DOJ, SEC drop probe on IPO disclosures – Reuters.
By Securities Docket on October 25, 2019, 7:49 am
Financial and regulatory litigation attorney David S. Slovick has joined Barnes & Thornburg’s Washington, D.C., office as a partner in the firm’s Litigation Department. Slovick joins from Cahill Gordon & Reindel LLP in New York, where he was counsel in the Litigation Group. via Barnes & Thornburg Adds Former CFTC and SEC Enforcement Attorney to […]
By Securities Docket on October 25, 2019, 7:46 am
Despite the surface appearance of a significant settlement amount of $24 million, the totality of the SEC’s settlement with Block.one has confused crypto issuers, it has confused the crypto markets, and it has confused crypto lawyers and other crypto gatekeepers. It is important for the SEC and its staff (the “Staff”) to explain, promptly, publicly […]
By Securities Docket on October 25, 2019, 7:45 am
The former corporate secretary and director of corporate law at a global technology company headquartered in Cupertino, California, was indicted today for orchestrating a five-year insider trading scheme, U.S. Attorney Craig Carpenito announced. Gene Levoff, 45, of San Carlos, California, was indicted on six counts of securities fraud and six counts of wire fraud. Levoff […]
By Securities Docket on October 25, 2019, 7:43 am
Clear as mud, right? That’s partly why, in May, Rep. Jim Hines (D-Conn.) introduced the bipartisan Act to clarify insider trading law. Under the Act, the DOJ and SEC may bring charges against anyone who “was aware, consciously avoided being aware, or recklessly disregarded” that MNPI was “wrongfully obtained or communicated.” Importantly, the Act eliminates […]