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Securities Docket

Charles Schwab Taps Jones Day Partner to Lead New In-House Regulatory Group | Corporate Counsel

By Securities Docket on March 1, 2021, 10:44 am

Westlake, Texas-based financial services firm Charles Schwab has hired Jones Day partner Shamoil Shipchandler to serve as the chief counsel for its new regulatory group.Shipchandler, who is based in Dallas, said in an interview Tuesday that he starts at the company Jan. 25. He leads the firm’s newly created risk and regulatory group. That group oversees […]

Posted in People, SEC, Top | Tagged Regulators, Schwab

SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity

By Securities Docket on February 26, 2021, 6:47 pm

As part of its continuing effort to respond to potential attempts to exploit investors during the recent market volatility, the Securities and Exchange Commission today suspended trading in the securities of 15 companies because of questionable trading and social media activity. Source: SEC.gov | SEC Suspends Trading in Multiple Issuers Based on Social Media and […]

Posted in SEC, Top | Tagged Trading halt

Stephanie Avakian, Former SEC Enforcement Director, Rejoins WilmerHale | WilmerHale

By Securities Docket on February 24, 2021, 3:21 pm

WilmerHale is pleased to announce that Stephanie Avakian, most recently Director of the Securities and Exchange Commission’s Division of Enforcement, is rejoining the firm as Chair of its Securities and Financial Services Department and member of the Management Committee. Stephanie will rejoin the firm later in the year and will have a wide-ranging public company […]

Posted in People, SEC, Top | Tagged Regulators

Elizabeth Holmes denies destroying evidence in Theranos case

By Securities Docket on February 24, 2021, 3:11 pm

“The reason that the government has built its case on this teetering card house of irrelevant evidence is that it lost—or, worse, did not want to analyze preindictment—the actual evidence of testing results in this case,” Holmes’ attorneys argued. However, prosecutors allege that Theranos executives destroyed the LIS system that proved her blood-testing product was […]

Posted in Criminal, Top | Tagged Theranos

NYAG’s Probe of Bitfinex, Tether Ends in an $18.5M Settlement – CoinDesk

By Securities Docket on February 24, 2021, 9:56 am

Charles Michael, a partner at law firm Steptoe & Johnson LLC who represented the companies in the inquiry, said the settlement “resolves allegations about public disclosures” around Tether’s loan to Bitfinex. “To the Attorney General’s office’s credit, after two and a half years of investigation, [its] findings are limited only to the nature and timing […]

Posted in Industry, Regulation, Top | Tagged NYAG, Tether

IRS is ‘setting the trap’ for bitcoin and virtual currency investors on 2020 tax form

By Securities Docket on February 24, 2021, 9:01 am

The Internal Revenue Service (IRS) is making it harder for taxpayers to conceal cryptocurrency transactions — whether intentionally or not — by adding a new question about it near the top of the new Form 1040. Source: IRS is ‘setting the trap’ for bitcoin and virtual currency investors on 2020 tax form

Posted in Industry, Top | Tagged Cryptocurrency, IRS

SEC Awards More Than $9.2 Million to Whistleblower for Successful Related Actions, Including Agreement With DOJ

By Securities Docket on February 23, 2021, 10:58 am

The Securities and Exchange Commission today announced an award of more than $9.2 million to a whistleblower who provided information that led to successful related actions by the U.S. Department of Justice, one of which was a non-prosecution agreement (NPA) or deferred prosecution agreement (DPA). The whistleblower previously received an award for contributions to an […]

Posted in SEC, Top | Tagged Whistleblowers

The Sure Thing podcast: ‘It was just chaos’: The day police cracked an $8 million scam

By Securities Docket on February 23, 2021, 9:00 am

One of the men behind Australia’s biggest insider trading case has broken his silence, detailing his role in a heist of almost $8 million involving secret accounts, betrayal and a police chase resembling a mafia sting. Christopher Hill, who worked at the Australian Bureau of Statistics at the time, and passed confidential information to NAB […]

Posted in Global, Industry, Top, Uncategorized | Tagged Australia, Insider Trading, Podcasts

Standing Up the PCAOB: A Discussion with PCAOB’s Founding Board Members and Audit Profession. | SEC Historical Society

By Securities Docket on February 22, 2021, 12:17 pm

This live broadcast will focus on the early history of the PCAOB and provide a first-hand understanding of the challenges and opportunities of being a new regulator (Panel I) and newly regulated (Panel II) in the environment of the just-passed Sarbanes-Oxley Act. Our confirmed guests include: Panel I – Founding PCAOB Board Members Kayla J. […]

Posted in Industry, SEC, Top | Tagged PCAOB

Jay Clayton and Jeff Wall to Rejoin Sullivan & Cromwell

By Securities Docket on February 19, 2021, 11:18 am

Sullivan & Cromwell LLP announced today that Jay Clayton, Chairman of the U.S. Securities and Exchange Commission from May 2017 through December 2020, will be returning to the Firm, resident in the Firm’s New York office, as Senior Policy Advisor and of counsel. Mr. Clayton will also return to his role as an Adjunct Professor […]

Posted in People, SEC, Top | Tagged Chairman

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