‘Enforcement 40’ for 2020
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By Securities Docket on October 30, 2020, 11:28 am
A former OppenheimerFunds IRA account holder sued the since-absorbed company, as well as custodian Pensco, for failing to stop a fraudster from stealing nearly $200,000 from his account, court documents show. OppenheimerFunds allegedly gave the thief clearance to transfer assets after he posed as account holder Michael Eckenwiler, even though he used an incorrect middle […]
By Securities Docket on October 30, 2020, 9:27 am
John Berry, a partner at Munger, Tolles & Olson LLP, a former SEC attorney that served on the enforcement staff from its Los Angeles office, has provided some perspective on Kik’s settlement with the SEC. While at the Commission, Berry supervised over 100 investigations that led to more than 40 litigated or settled cases so […]
By Securities Docket on October 29, 2020, 1:08 pm
The Securities and Exchange Commission today announced an award of over $10 million to a whistleblower whose information prompted the opening of an investigation and provided substantial, ongoing assistance to SEC staff throughout the investigation. In more than a dozen communications with the staff, the whistleblower provided key evidence, helped decipher communications, and distilled complex issues. […]
By Securities Docket on October 29, 2020, 10:23 am
Securities Docket announces its list of the 40 best securities enforcement defense lawyers.
By Securities Docket on October 27, 2020, 11:25 am
McGuireWoods is pleased to announce that Elizabeth Hogan, former senior vice president of market regulation enforcement at the Financial Industry Regulatory Authority (FINRA), has joined the firm’s nationally recognized Government Investigations & White Collar Litigation Department in Washington, D.C. via Former FINRA Senior Officer Elizabeth Hogan Joins McGuireWoods’ Securities Enforcement & Litigation Team | McGuireWoods.
By Securities Docket on October 22, 2020, 10:01 am
Experts following the new statutes agree on two key points. First, California corporations have succeeded in finding women directors from diverse backgrounds in response to the 2018 statute, despite opponents’ assertions that boards would have difficulty identifying good nominees. As a result, they contend that boards won’t have trouble identifying other diverse candidates either. And […]
By Securities Docket on October 16, 2020, 7:49 am
That Mr Ben-Artzi failed to benefit from the SEC award is not surprising. The securities watchdog had allocated it to him in 2016, a year after it fined Deutsche Bank $55m for artificially boosting its balance sheet. But Mr Ben-Artzi rejected it, writing in the Financial Times that he could not take money that had […]
By Securities Docket on October 15, 2020, 8:17 am
Last week, a three-judge panel of the 9th U.S. Circuit Court of Appeals issued a significant decision in a shareholder class action against BofI, a bank holding company. The appeals court, in an opinion by Judge Paul Watford, revived a class action alleging, among other things, that the bank’s share price plunged in response to […]
By Securities Docket on October 14, 2020, 4:39 pm
Davis Polk today announced that Uzo Asonye, a seasoned trial lawyer with more than a decade of experience prosecuting complex financial crimes and public corruption offenses, will join the firm as a partner in its White Collar Defense and Investigations Group in Washington DC. via Davis Polk Welcomes Veteran Federal Prosecutor Uzo Asonye as White […]
By Securities Docket on October 14, 2020, 4:33 pm
FPC Pensacola is a federal prison camp about a nine-hour drive from Collins’ home in Marco Island, Fla., where former House of Representatives Speaker John A. Boehner is among Collins’ neighbors. Boehner wrote a letter of support on behalf of his former colleague to Judge Vernon S. Broderick. “In the absence of a decision on […]