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Reviews

Insider Trading Enforcement in 2022 | Jones Day

By Securities Docket on May 1, 2023, 8:07 am

Each year, the Department of Justice (“DOJ”), the Securities and Exchange Commission (“SEC”), and in recent years, the Commodity Futures Trading Commission (“CFTC”) dedicate substantial resources to investigating and prosecuting illegal insider trading across U.S. securities and commodities markets. This past year, we have observed significant developments and emerging trends in the enforcement of insider […]

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

Ponzi Perspectives: 2022 Midyear Roundup | Ponzi Perspectives

By Securities Docket on August 14, 2022, 9:54 am

McGuireWoods’ Ponzi Litigation team launched its Ponzi Perspectives blog in early 2021.  Since that time, our focus is to track key cases and decisions that have the potential to influence controlling law on Ponzi-related issues.  The blog also offers analysis on practical considerations when defending Ponzi litigation.  This 2022 mid-year round up summarizes the new […]

Posted in Criminal, SEC, Top | Tagged Reviews

2021 Mid-Year Securities Enforcement Update

By Securities Docket on July 21, 2021, 8:26 am

This mid-year update marks the first six months of the Commission under the Biden administration. Change came swiftly, yet is only just beginning. In this update, we look at the significant developments from the first six months of 2021, and consider what to expect from new leadership at the Commission and the Enforcement Division. In […]

Posted in SEC, Top | Tagged Reviews

What’s Ahead at the SEC? | The D&O Diary

By Securities Docket on March 2, 2021, 7:33 pm

President Biden’s nominee to head the SEC, Gary Gensler, faced a grilling today before the U.S Senate banking committee as his nomination  proceeds through Congress. Although the outcome of his nomination technically remains uncertain, his eventual confirmation seems likely. With that possibility in mind, it seems timely to look ahead at some of the issues […]

Posted in SEC, Top | Tagged Chairman, Reviews

2019 Year-End Securities Enforcement Update

By Securities Docket on January 16, 2020, 12:58 pm

This year, the SEC’s review of the performance of the Enforcement Division has de-emphasized the statistics and focused more on qualitative measures of its performance. As Chairman Clayton noted in his December testimony to the Senate Banking Committee, “purely quantitative measures alone cannot adequately measure the effectiveness of Enforcement’s work, which can be evaluated better […]

Posted in SEC, Top | Tagged Reviews

What to Expect From White-Collar Prosecutions in 2020 – The New York Times

By Securities Docket on January 14, 2020, 9:14 am

The new year promises to be an interesting one in white-collar crime. Goldman Sachs is negotiating with the Justice Department to pay a penalty of about $2 billion for its role in the 1Malaysia Development Berhad scandal, known as 1MDB. Accounting fraud became a particular focus of the Justice Department toward the end of 2019. […]

Posted in Criminal, Top | Tagged Reviews

Mar. 1 Webcast: SEC Enforcement -- Current Developments and What’s Ahead for 2019

Mar. 1 Webcast: SEC Enforcement — Current Developments and What’s Ahead for 2019

By Securities Docket on February 13, 2019, 11:17 am

Please join Bill McLucas, Doug Davison, Marty Wilczynski and Steve Richards for this free webcast.

Posted in Industry, SEC, Top | Tagged Enforcement, Reviews, SEC, Webcasts

How SEC Enforcers Got Back to Basics | Russell G. Ryan – LinkedIn

By Securities Docket on January 17, 2019, 8:10 am

Since leaving the Securities and Exchange Commission in 2004, I haven’t hesitated to question SEC enforcement policy on the op-ed pages of The Wall Street Journal and elsewhere. So it’s only fair, nearly two years into the tenure of current SEC leadership, to give credit where it’s due. As it happens, plenty of credit is due […]

Posted in SEC, Top | Tagged Reviews

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