Search for: "Bruce Carton"
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23 Dec 2010, 6:22 am
Stats Show More Suspensed Licences http://is.gd/jgO1DAlaska high court rejects claims in Senate race http://is.gd/jgNRbPopular Legal Topics in 2010 http://is.gd/jgNrfSlaw Makes Bruce Carton’s 10 “Go-to Blogs” Of the Year http://is.gd/jgNoCSLAPP Panel recommends anti-SLAPP law http://is.gd/jgNjeClawbie 2010 Nominations Roundup http://is.gd/jgNi6Litigation in Canada: 6 interesting facts http://is.gd/jgN1uFertility clinics up to provinces to regulate, top court rules… [read post]
18 Mar 2009, 9:45 am
Friehling - hosted on JD Supra SEC Charges Madoff Auditors With Securities Fraud, "Pretending" to Perform Audit by Bruce Carton of Securities Docket Madoff Accountant Charged With Fraud by Chad Bray for WSJ.com Madoff’s auditor… doesn’t audit? [read post]
18 May 2012, 5:00 am
” At the SEC, Investigations About Investigators Who Investigate Other Investigators by Bruce Carton in Compliance Week David Kotz, the former SEC Inspector General, departed the agency in January 2012 to rejoin the private sector, and it seemed as if this surge of “investigations of investigations” had ended. [read post]
11 Mar 2009, 12:12 pm
Bruce Carton moderated a panel of Veronica Rendon of Arnold & Porter, Richard Swanson of Arnold & Porter and Jeff Nielsen of Navigant Consulting, Inc. [read post]
22 Jan 2010, 5:00 am
by Bruce Carton for Compliance Week’s Enforcement Action Today, though, the SEC filed a settled enforcement action charging Charles J. [read post]
5 May 2009, 11:17 am
See: SEC Charges Hedge Fund Manager and Bond Salesman in First Insider Trading Case Involving Credit Default Swaps - SEC press release SEC Complaint against Jon-Paul Rorech and Renato Negrin - hosted on JD supra SEC Files First Credit Default Swap Insider Trading Case - SEC litigation release SEC Files First-Ever Insider Trading Case Involving Credit Default Swaps by Bruce Carton of Securities Docket [read post]
10 Feb 2012, 4:30 am
We’re happy to report that Bruce Carton at Law.Com’s Legal Blog Watch picked up on the story. [read post]
19 Dec 2012, 5:00 am
” Robert Khuzami, Director of the SEC’s Enforcement Division Sources: Another Hedge Fund Nailed for ‘No Skin in the Game‘ by Bruce Carton in Compliance Week SEC Charges Connecticut-Based Adviser for “Skin in the Game” Misstatements About CDOs SEC Order: Joseph A. [read post]
11 Mar 2010, 1:50 am
For those who remain skeptical on the topic, I suggest a quick review of the March 10, 2010 post by Bruce Carton on his Securities Docket blog (here). [read post]
11 Jan 2013, 5:00 am
‘They Owe It to Me’: FBI Identifies Top Email Phrases Used by Fraudsters by Bruce Carton in Compliance Week According to research conducted by Ernst & Young in collaboration with the FBI, these phrases are among the top terms used by employees in emails discussing fraud. [read post]
18 Mar 2009, 5:32 am
See: Revenue Procedure 2009-20 (.pdf) Revenue Ruling 2009-9 (.pdf) IRS issues guidelines to assist Madoff victims by AccountingWeb IRS Issues Guidance for Investors in Ponzi Schemes by Jim Hamilton's World of Securities Regulation Commissioner Shulman’s Senate Finance Testimony on Ponzi Schemes and Offshore Tax Evasion Legislation IRS: Madoff Victims Can Deduct Up to 95% of Investment Loss by Bruce Carton of Securities Docket Can You Prevent Ponzi Schemes? [read post]
1 Mar 2013, 8:00 am
People Need to Stop Selling Earnings Info to Undercover FBI Agents by Bruce Carton in Compliance Week Unfortunately, the saying “those who don’t know history are destined to repeat it” has once again turned out to be quite accurate. [read post]
28 Mar 2009, 10:00 am
SEC's OCIE Unit Ramps Up Training on Detecting Ponzi Schemes by Bruce Carton of Securities Docket Burned by its high-profile failure in the Madoff case, the SEC is ramping up its training of staff on how to detect certain types of securities fraud. [read post]
25 Oct 2010, 5:25 am
Gorman in SEC Actions SEC Defendant’s ‘Dream’ Alibi Leads to Obstruction Charge by Bruce Carton in Compliance Week’s Enforcement Action DOJ Press Release – Uncle, Nephew Indicted for Insider Trading SEC Litigation Release No. 21133 – SEC Charges Five Individuals With Insider Trading In Connection With Safeco Corp. [read post]
23 Apr 2009, 4:00 am
Schapiro Video of the Rountable (.wmv) SEC's Schapiro: "Intense Review" of Rating Agencies Needed by Bruce Carton of Enforcement Action (Requires Compliance Week Subscription) SEC Puts Ratings Firms on Notice by Kara Scanell for WSJ.com Credit Agency Reform Act of 2006 (.pdf) The Risk Management Formula That Killed Wall Street Credit Raters Plead the First. [read post]
13 May 2011, 5:00 am
The SEC Remains Behind the Times on Social Media by Bruce Carton in Securities Docket The Securities and Exchange Commission continues to dip its toe into the social media waters, but it’s doing so in such a cautious, disjointed way that it undermines the usefulness of powerful online communication tools. [read post]
12 Mar 2010, 5:00 am
FCPA Enforcement in 2010: Prepare for Blastoff by Bruce Carton in Securities Docket When Assistant Attorney General Lanny Breuer was recently asked to comment on enforcement of the Foreign Corrupt Practices Act in 2009, he minced no words: “One can say without exaggeration that this past year was probably the most dynamic single year in the more than 30 years since the FCPA was enacted. [read post]
5 Feb 2010, 5:00 am
CFTC: Billy Ray and Winthrop Were Not Insider Traders by Bruce Carton in Compliance Week’s Enforcement Action. [read post]
11 Mar 2010, 9:00 am
There should be some great compliance bloggers there: Francine McKenna of re: The Auditors, Bruce Carton of Securities Docket, Tom Fox of Tfoxlaw's Blog (he needs a better name for his blog), Alex Howard of SearchCompliance.com, and Compliance Week Editor In Chief Matt Kelly For a change of pace, I'm speaking at Pax East on March 26 on Bringing up the Next Generation of Geeks. [read post]
13 Jun 2012, 5:49 pm
Full marks to Bruce Carton over at Legal Blog Watch for summarizing this bullet list of law-oriented applicants: .attorney .blog (requested by nine applicants) .corp (requested by six applicants) .gmbh (requested by four applicants) .inc (requested by 11 applicants) .law (requested by five applicants) .lawyer (requested by two applicants) .legal (requested by two applicants) .llc (requested by nine applicants) .llp (requested by four applicants) .ltd (requested by seven… [read post]
