‘Enforcement 40’ for 2020
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By Securities Docket on June 22, 2020, 8:32 am
U.S. Securities and Exchange Commission Chairman Jay Clayton was surprised and dismayed by the political battle that quickly erupted over his pending nomination to be the top federal prosecutor in New York, said people familiar with the matter. Now, as it becomes clear that he may face insurmountable hurdles to winning Senate confirmation for the […]
By Securities Docket on June 21, 2020, 7:47 am
Hester Peirce has been nominated to another term as an SEC commissioner. Her current term expired Friday, though commissioners can remain in their seats up to 18 months after a term’s expiration, or until a replacement is confirmed. If confirmed by the Senate, her term would stretch until June 2025, the White House announced Tuesday. […]
By Securities Docket on June 21, 2020, 7:45 am
In early June, federal agencies brought some of the first enforcement actions against COVID-19 securities fraudsters, involving over $100 million in fraudulent claims and profits, making good on their promise to investigate and prosecute those seeking to fraudulently capitalize on the COVID-19 crisis. The cases generally involve misleading claims about companies’ ability to supply COVID-19 […]
By Securities Docket on June 19, 2020, 7:49 am
King & Spalding has hired a four-partner, New York-based trial team from Boies Schiller & Flexner, the latest in a growing string of exits from the firm founded by famed litigator David Boies, which has lost a total of 19 attorneys to King & Spalding since April. The lawyers joining King & Spalding in New […]
By Securities Docket on June 18, 2020, 4:43 pm
Today, President Donald J. Trump announced his intent to nominate the following individual to a key position in his Administration: Caroline A. Crenshaw, of the District of Columbia, to be a Member of the Securities and Exchange Commission. Ms. Crenshaw currently serves as Senior Counsel at the United States Securities and Exchange Commission (SEC) and […]
By Securities Docket on June 18, 2020, 8:25 am
Law firm Stephenson Harwood LLP has augmented its professional liability and regulatory practice with the addition of Adam Culy, who joins the firm as a partner in London. Culy joins from BDO, where he was the accountancy firm’s General Counsel for twelve years, and focused on accountancy claims and regulatory investigations. via Adam Culy joins […]
By Securities Docket on June 16, 2020, 9:03 am
Thornton Law Firm LLP announced today that a firm client has been awarded the largest amount ever to one individual under the SEC’s whistleblower program, nearly $50 million dollars. Working with his counsel at the firm, Michael A. Lesser, the client provided original information to the Securities and Exchange Commission that resulted in a successful […]
By Securities Docket on June 10, 2020, 1:27 pm
Please join Marion Duffy, Keith Halverstam, Alok Khare, Ryan Maierson, Rob Malionek, and Todd Rahn for this free webcast.
By Securities Docket on June 8, 2020, 8:08 am
A former trader at Bank of New York Mellon Corp. BK 4.60% —who alerted authorities to the bank’s pattern of overcharging big clients on currency trades—was awarded a $50 million whistleblower payment. The award, the largest of its type made by the Securities and Exchange Commission, comes more than a decade after the trader, Grant […]
By Securities Docket on June 5, 2020, 11:45 am
Registration and details for online tribute to Judge Stanley Sporkin.