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14 Jul 2009, 10:29 am
Significant topics to be covered, include: -Monitoring the portfolio: When and why you would want to be a lead plaintiff -Don't leave money on the table: Filing claim forms in settled cases to recover losses -Opting in: Navigating the waters of non-US securities litigation -Opting out: When does it make sense to leave the safety of the class action and pursue an individual case Bruce Carton of Securities Docket will moderate the webcast, and panelists include Adam Savett,… [read post]
6 Aug 2010, 5:00 am
Here are some ways to botch the effort to become a leader: … Changes in Securities Enforcement Thanks to Dodd-Frank by Bruce Carton in Securities Docket Only a portion of the Dodd-Frank Act is directed at enforcement of securities laws by the Securities and Exchange Commission. [read post]
7 Jan 2013, 5:00 am
Pileggi of Fox Rothxchild LLP Enforcement Action by Bruce Carton FCPA Blog by Richard L. [read post]
5 Nov 2010, 5:00 am
Ethisphere’s 20 Ethics & Compliance Officers ‘Who Matter’ by Bruce Carton in Compliance Week‘s Enforcement Action Are you an attorney who matters in the world of ethics and compliance? [read post]
10 Feb 2012, 5:25 am
” Stressed-Out Compliance Officers May Soon Feel Even More Heat From SEC by Bruce Carton in Compliance Week’s Enforcement Action Unfortunately, this stress level is about to go even higher for compliance officers at investment firms if the SEC follows through on a recent decision that such compliance officers may themselves be sued as “supervisors.” According to Investment News, the SEC “sees compliance as an area ripe for scrutiny.” At… [read post]
30 Mar 2009, 4:00 am
See also: Closing the Congressional Insider-Trading Loop by Bruce Carton Senators’ Stocks Beat the Market by 12 Percent by FT.com Abnormal Returns from the Common Stock Investments of the U.S. [read post]
2 Mar 2009, 12:12 pm
Thanks to Bruce Carton, again, for announcing my arrival on Twitter. [read post]
6 Nov 2009, 4:00 am
ACC: The Use of Lawful and Ethical Strategies (Oct. 20, 2009) Octopussy and the Golden Goose by Bruce Carton for Enforcement Action If you are in an insider trading ring and your ring-buddies are using a "nickname" of any kind for you or others involved, it is all but certain that the nickname is going to be prominently mentioned when the SEC issues its press release about the case. [read post]
2 Dec 2011, 10:51 am
Law.com’s Legal Blog Watch won Blawg 100 honors in 2008 and 2009, at which time I was the co-author of it, first with Carolyn Elefant and later with Bruce Carton. [read post]
26 May 2009, 1:00 pm
References: FCPA Investigations on the Rise, Including Sun Microsystems and Royal Dutch Shell by Corporate Compliance Insights FCPA Prosecutions by DOJ Surge: 120 Cases Now Under Investigation by Bruce Carton of Securities Docket Foreign Corrupt Practices Act 2.0 - Its Role In The 2009 Global Economy from The Metropolitan Corporate Counsel [read post]
23 Apr 2013, 5:18 am
Brokerage Firm by Bruce Carton in Compliance Week [read post]
2 Sep 2011, 4:48 am
First Case Brought Under UK Bribery Act Looks Nothing Like You Expected by Bruce Carton in Enforcement Action The first-ever action under the UK Bribery Act has now been filed–but it probably doesn’t look anything like what you expected. [read post]
27 May 2010, 5:29 am
Matt Kelly, Francine McKenna and Me Old Friends For me, it was great to once again spend time face-to face with old friends like Scott Cohen, Matt Kelly, Bruce Carton, Francine McKenna, Melissa Klein Aguilar, Bill Piwonka, Carole Switzer, Kathleen Edmond, and Scott Giordano. [read post]
7 Jul 2011, 3:08 pm
Bruce Carton: “50 percent of U.S. law schools will close their doors due to overcapacity. [read post]
23 Oct 2009, 5:43 am
[Valetk, Law.com; Volokh] “Attorney Charged With Posting Ad Seeking ‘Secretary With Benefits’” [Legal Profession Blog via Bruce Carton, Legal Blog Watch] Maker of Monster energy drinks drops its cease and desist demand against Vermonster beer [Burlington Free Press] Putative class action filed against University of Illinois over clout-in-admissions scandal; a contest challenges readers to come up with best arguments for dismissal [Russell… [read post]
3 Mar 2009, 11:49 am
See also: SEC Press Release 2009-39 - SEC Warns Investors and Financial Firms of Government Impersonators "Impersonation of Securities Regulator" Scam Returns By Bruce Carton from Compliance Week ($$) Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit from the SEC [read post]
29 May 2009, 9:00 am
References: Euro-Shareholder Trend: Throwing Stuff at Board Members by Bruce Carton in Enforcement Action Proxy Season Developments: Ten Signs that Things are Changing Online by Broc Romanek on TheCorporateCounsel.net Blog Notice and Access: Statistical Overview of Use with Beneficial Shareholders (.pdf) by Broadridge Notice and Access Resource Center Target’s Annual Meeting Campaign: “Bringing It” Online by Broc Romanek on TheCorporateCounsel.net… [read post]
21 Jan 2011, 11:31 am
Bruce Carton explains how denying crucial funds to the already cash-strapped agencies tasked with implementing Dodd-Frank is stopping implementation in its tracks. [read post]
21 May 2012, 9:10 pm
[Bedard, DC Examiner; earlier; recent Heritage Foundation work; reworded to reflect comment from "Density Duck," below] Contributors to new “Privatization Blog” include friend of this blog Coyote, e.g. here and here; “Big Government Causes Hyper-Partisanship in the Judicial Appointment Process” [Ilya Shapiro] Fuels Culture War, too: “The faster the state expands, the more likely it is to violate your values” [Matt Welch] Demagogy on expatriates:… [read post]
21 May 2009, 11:00 am
SlideDeck with Notes: Social Media and Compliance - Hosted on JD supra Sites Shown: Google Reader Compliance Building Wall Street Journal’s RSS feeds Securities Docket by Bruce Carton Integrity at Work by Bill Piwonka of EthicsPoint On Point by David Childers of EthicsPoint SEC.gov Updates: Press Releases White House Blog US Senate on YouTube President of Russia’s Blog Technorati’s State of the Blogosphere Compete’s Comparison of Twitter,… [read post]
