‘Enforcement 40’ for 2020
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By Securities Docket on September 14, 2018, 3:29 pm
The Securities and Exchange Commission reduced a whistleblower award to $1.5 million Friday because the whistleblower was “culpable” and delayed reporting the misconduct for a year. The whistleblower provided “vital information and ongoing assistance that proved important to the overall success of an enforcement action.” But the SEC said in Friday’s award order (pdf) the […]
By Securities Docket on October 20, 2016, 9:37 pm
Photos and highlights from Securities Enforcement Forum 2016.
By Securities Docket on October 17, 2016, 4:13 pm
Please join Seth Farber, Trey Nicoud, Basil Imburgia, Jeff Litvak, and Geoffrey Ihnow for this free webcast.
By Securities Docket on January 25, 2016, 11:39 am
Please join Jeff Litvak, Jeremy McGannon and Michael Faris for this free webcast.
By Securities Docket on January 4, 2016, 5:08 pm
Please join Bill McLucas, Doug Davison, Marty Wilczynski and Jason Flemmons for this free webcast.
By Securities Docket on December 6, 2015, 8:47 pm
In September 2015, I was motivated by an awesome drawing of the five SEC commissioners reimagined as WWE wrestlers to launch the Enforcement Action Art Gallery. It occurs to me, however, that there are many photographs that need to be preserved, as well. Welcome to the new Photo Wing! via Grand Opening: Photo Wing of […]
By Securities Docket on November 11, 2015, 12:23 pm
Photos and highlights from Securities Enforcement Forum 2015.
By Securities Docket on October 16, 2015, 7:34 am
Securities Enforcement Forum 2015 is on Nov. 4, 2015. Register now!
By Securities Docket on September 11, 2015, 10:13 am
Welcome to the “Enforcement Action Art Gallery,” this blog’s collection of the finest SEC and securities enforcement-related art available anywhere. via Welcome to the Enforcement Action Art Gallery! | Compliance Week.
By Securities Docket on August 30, 2015, 11:07 am
Nearly six years after the scandal unfolded, HBO is moving forward with a film on the Madoff scandal based on Wizard of Lies, a book by NYT reporter, Diana B. Henriques. Robert De Niro will play the role of Bernard Madoff and Henriques will play herself in the movie. via De Niro to Play Bernard […]