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Cartoons

The Insider Trading Cartoon Series, Vol. 14 — United States v. Newman (Part 1) | Brooks Pierce

By Securities Docket on January 18, 2017, 2:48 pm

The U.S. Court of Appeals for the Second Circuit shook the insider trading world in 2014 when it issued United States v. Newman, 773 F.3d 438 (2d Cir. 2014).  The court addressed the knowledge required for liability of remote tippees and what a personal benefit means in tipping cases.  I think the decision in that […]

Posted in Criminal, SEC, Top | Tagged Cartoons, Insider Trading

Two thumbs up for David Smyth’s ‘Insider Trading Cartoon Series’ | Compliance Week

By Securities Docket on November 3, 2016, 11:19 am

Via this article in Bloomberg News, I was pleased to discover that former SEC enforcement attorney David Smyth, now a partner at North Carolina-based law firm Brooks, Pierce, McLendon, Humphrey & Leonard LLP, has developed a creative cartoon series that helps explain securities enforcement related issues. His work is “The Insider Trading Cartoon Series,” which is now a […]

Posted in SEC, Top | Tagged Cartoons, Insider Trading

Cartoon Robots are Here to Teach You About the Dodd-Frank Whistleblower Statute

Cartoon Robots are Here to Teach You About the Dodd-Frank Whistleblower Statute

By Securities Docket on October 1, 2012, 1:43 pm

Watch cartoon robots discuss the whistleblower provisions of the Dodd-Frank act.

Posted in SEC, Top | Tagged Cartoons, Whistleblowers

CNBC Video: From Wall Street to Sesame Street

CNBC Video: From Wall Street to Sesame Street

By Securities Docket on September 9, 2009, 1:00 pm

Sesame Street’s Grover confirms times are tight on Sesame Street, too, in tonight’s prime-time special.

Posted in Uncategorized | Tagged Cartoons

Political Cartoon: "Madoff Behind Bars ... Day One"

Political Cartoon: “Madoff Behind Bars … Day One”

By Securities Docket on March 14, 2009, 9:10 am

By Walt Handelsman, Newsday.

Posted in Uncategorized | Tagged Cartoons, Features, Financial Fraud, Madoff, Prison

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