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Join the Securities Litigation and Enforcement Group on LinkedInExecutive Beware: The SEC Now Wants To Police Unethical Corporate Conduct — Forbes
Big violations are easy to define and the bad actors most always know they are engaging in wrongdoing, but what constitutes a small violation worthy of the costs and ramifications of a federal civil prosecution? Where will the SEC draw that blurry line between conduct that is unlawful versus merely unethical? Or, in the eyes […]
SEC Chief Given Waiver on Work for Former Client – GovExec.com
An agency ethics office has given the chief of the Securities and Exchange Commission the go-ahead to end her recusal from cases involving a major bank that was among her prior clients at a Wall Street law firm. Mary Jo White received word in a Feb. 6 letter that waiving a part of her standard […]
Banned Stocks Held by SEC Employees Trigger Agency Ethics Review – Businessweek
Securities and Exchange Commission attorneys are reviewing the stock holdings of about 3,400 employees after some New York staffers were found to own securities prohibited by ethics rules. via Banned Stocks Held by SEC Employees Trigger Agency Ethics Review – Businessweek
New York lawyers generally cannot seek bounties under Dodd-Frank, says New York Ethics Committee – Proskauer
The New York County Lawyers Association Committee on Professional Ethics released Formal Opinion 746 on October 7, in which the Committee considered whether New York lawyers can ethically collect bounties for submitting confidential information about their clients under the whistleblower provisions of the Dodd-Frank Act. According to the Formal Opinion, New York lawyers may not […]
Ethics Committee Offers Insider-Trading Guidance
House committee circulates memorandum on Congressional rules barring insider trading and conflicts of interest.
Written and Oral Testimony of SEC’s David Becker on Madoff Conflicts Issue
Video and links to David Becker’s written congressional testimony.
Ex-SEC lawyer Becker fights back on conflict charge
Former SEC GC says “I did precisely what I was supposed to do.”
SEC IG Releases Report on Becker Conflict Issue, Refers Results to DOJ’s Public Integrity Section
Results of report referred to the Public Integrity Section of DOJ.