Search for: "Bruce Bricks"
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10 Apr 2015, 5:00 am
The post Compliance Bricks and Mortar for April 10 appeared first on Compliance Building. [read post]
27 Mar 2015, 6:00 am
Tulip Brick is by Tjololo Photo The post Compliance Bricks and Mortar for March 27 appeared first on Compliance Building. [read post]
20 Feb 2015, 6:48 am
Feds: Employee Impersonated Firm’s President in SEC Inquiry by Bruce Carton in Compliance Week Yesterday, federal prosecutors in the Southern District of New York announced that they have charged Steven Hart with obstruction of justice and perjury relating to an SEC investigation. [read post]
16 Jan 2015, 5:37 am
Black & White Bricks is by Mike [read post]
9 Jan 2015, 5:00 am
SEC Fights ‘Pre-taliation’ Against Dodd-Frank Whistleblowers by Bruce Carton in Compliance Week According to whistleblower lawyer Erika Kelton, companies that fear Dodd-Frank whistleblower programs are aggressively trying to squash potential tips to the SEC through a practice the agency has dubbed “pre-taliation. [read post]
5 Dec 2014, 5:00 am
” 2015 SEC Trial Scorecard Update: Agency is Undefeated After Two Trials by Bruce Carton in Compliance Week To date in FY 2014 (which began on October 1, 2014), the SEC has had two trials in federal court reach a verdict. [read post]
21 Nov 2014, 5:00 am
Image of Kingston Brick Wall is by Nicholas Laughlin [read post]
7 Nov 2014, 4:00 am
” Rainbow Bricks by fusion-of-horizons [read post]
24 Oct 2014, 5:00 am
SEC Breaks Down FY 2014 Enforcement Results, Highlights by Bruce Carton in Compliance Week Late last week, the SEC issued a press release summarizing its enforcement results for the agency’s fiscal year 2014, which ended September 30, 2014. [read post]
17 Oct 2014, 5:00 am
Mathew Martoma’s Wife Fights to Keep Couple’s Florida Home, Millions in Cashby Bruce Carton in Compliance Week Martoma will begin serving his prison term next month, but his wife, Rosemary Martoma, is now challenging the $9.4 million forfeiture order. [read post]
10 Oct 2014, 5:00 am
Yet Another Study Debunks ‘Revolving Door’ Worries by Bruce Carton in Compliance Week Although I have followed the revolving door issue closely for many years, I have never seen any actual evidence that the “SEC lawyers will go easy on firms to get a future job” theory is, in fact, true. [read post]
5 Sep 2014, 5:00 am
For Hedge Fund Whistleblower, Waiting Was the Hardest Part by Lillian Rizzo in WSJ.com’s Risk and Compliance Journal When Frank Harrison decided in 2009 to go to the Federal Bureau of Investigation with allegations of fraud at hedge fund New Stream Capital LLC, he wasn’t prepared for one of the most nerve-wrecking aspects of being an informant—a long wait with little inkling of action being taken The FBI’s Interesting Endgame with Michael Lucarelli by Bruce Carton in… [read post]
27 Jul 2014, 5:07 pm
There is a news item about the case on the One Brick Court website. [read post]
10 Apr 2014, 5:00 am
While are there are many sophisticated investors and business executives, the domain of intellectual property and intangible assets is very different from the bricks and mortar world that they inhabit. [read post]
10 Apr 2014, 5:00 am
While are there are many sophisticated investors and business executives, the domain of intellectual property and intangible assets is very different from the bricks and mortar world that they inhabit. [read post]
9 Apr 2014, 4:50 am
Now take a look at the amicus brief of the International Anti-Counterfeiting Coalition (IACC), written by my friend David Bernstein and his partner Bruce Keller and counsel Michael Potenza. [read post]
14 Mar 2014, 5:00 am
Behind the Myth of Insider Trading by SEC Employees by Bruce Carton in Compliance Week The authors also point to six specific cases in which “SEC employees appear to front-run the announcement that a firm is subject to costly SEC penalties (associated with the enforcement action). [read post]
28 Feb 2014, 5:00 am
” by Bruce Carton in Compliance Week Today I stumbled up on the following headline from the Chinese publication, Global Times: ”Rat trader faces 5-10 years for insider dealing. [read post]
21 Feb 2014, 8:30 am
Here is a 1-minute video about the disclaimer’s origins - [Broc] tried to inject some humor at the end: Image of Brick work, Belconnen, Canberra is by Rebecca Dominguez CC BY NC SA [read post]
14 Feb 2014, 5:48 am
Bad Apple: REITs fined $1.5 million for disclosure violations by Bruce Kelly in Investment News The Apple REITs failed to value the REITs properly, disclose numerous related-party transactions and divulge executive compensation of four REITs, according to a SEC cease-and-desist order, which was a settlement between the SEC and the various respondents. [read post]
