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4 Aug 2016, 6:00 am
by Bruce Carton in Compliance Week There are two insider trading-related “mistakes” that I have repeatedly warned against in this blog through the years. [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 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]
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]
8 Feb 2013, 5:00 am
‘Without Wheels’: Sometimes Circumstantial Evidence Can Be Quite Powerful by Bruce Carton in Compliance Week The SEC alleged that Vance learned about the merger when he was asked to help Clear One’s CEO resolve an e-mail issue and saw confidential merger documents, and tipped Wellington. [read post]
2 Oct 2015, 5:00 am
The Curious Incident of the ‘Life Coach’ and the Press Release by Bruce Carton in Compliance Week As I’ve observed before, the SEC loves to craft press release headlines that feature defendants’ interesting or high-profile jobs. [read post]
29 Sep 2017, 6:00 am
SEC forced to try new ways of pursuing bad financial advisers by Bruce Love in the Financial Times The US investment regulator’s powers to recoup losses from financial advisers who break the law were dealt a blow by a landmark Supreme Court decision this summer. [read post]
16 Jan 2015, 5:37 am
Black & White Bricks is by Mike [read post]
7 Nov 2014, 4:00 am
” Rainbow Bricks by fusion-of-horizons [read post]
4 Jan 2013, 5:00 am
Khuzami Posts Blog Comment Defending SEC’s Record, Policies by Bruce Carton in Compliance Week In a December 27 post, Johnson wrote that as Robert Khuzami will reportedly soon step down as Director of Enforcement at the SEC, “the Obama administration should press for the appointment of Neil Barofsky, former special inspector general for the Troubled Asset Relief Program, to this position. [read post]
21 May 2015, 5:00 am
Former SEC Chairman Cox Weighs in on Administrative Proceedings by Bruce Carton in Compliance Week On Wednesday, former SEC Chairman Christopher Cox offered his own interesting perspective on the SEC’s use of administrative proceedings. [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]
21 Nov 2014, 5:00 am
Image of Kingston Brick Wall is by Nicholas Laughlin [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]
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]
12 Apr 2013, 5:00 am
Hedge Fund Survey Shows Misconduct Believed to be Widespread by Bruce Carton in Compliance Week A recent survey of hedge fund professionals indicates that misconduct is widespread in the industry, and that a very large percentage of professionals in the industry are prepared to report wrongdoing under a program such as the SEC’s new whistleblower program under Dodd-Frank. [read post]
20 Jan 2011, 3:30 am
Bruce, JD, PCC Rania Combs is a wills, trusts and estates lawyer, licensed in Texas since 1994. [read post]
5 Jul 2006, 12:34 pm
I used to think that the concept of space was only problematic in virtual communities, but actually it's pretty tough when we reach for it to think about education in bricks & mortar. [read post]
19 Nov 2009, 8:49 am
We would also like to acknowledge the judges who have built this cathedral of justice brick by brick and have tried to make it accessible to the rest of us. [read post]
19 Apr 2007, 12:43 pm
There were 3 panelists: (1) Judge Susan Illston of the Northern District of California, (2) Bruce Simon, a class action plaintiff's lawyer, and (3) James Wilson, a defense attorney. [read post]
