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‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSEC Subpoena Enforcement for Documents and Testimony Results in Rare Arrest – Compliance Week
It is a long and rarely-traveled road between receiving a subpoena for documents or testimony from the SEC and actually getting yourself arrested, but Anthony Coronati completed the journey down that road today when he was arrested by the U.S. Marshals Service. via SEC Subpoena Enforcement for Documents and Testimony Results in Rare Arrest – […]
Bristol-Myers Gets SEC Subpoena In Foreign Bribery Probe
Bristol-Myers discloses SEC subpoena seeking information related to sales and marketing practices in “various countries.”
Deloitte Warns Complying With SEC Demand May Land Its Partners in Chinese Prison
Deloitte Touche Tohmatsu warns of grave risks if it produces workpapers demanded by the SEC.
SEC Files Rare Subpoena Enforcement Action against Wells Fargo — Cady Bar the Door
Under what circumstances will the SEC file a subpoena enforcement action to seek to compel production of documents?
U.S. Court Fight May Not Solve Chinese Accounting Mess
Deloitte says Chinese law prohibits it from turning over documents to foreign regulators.
SEC Files Subpoena Enforcement Action Against Deloitte & Touche in Shanghai
Action follows firm’s alleged failure to produce documents related to SEC’s investigation into possible fraud by firm’s client, Longtop Financial.
SEC Issues Flurry of Subpoenas Related to Hedge Funds, Bankers
SEC reportedly probing trading before numerous health care and retail deals.