Search for: "Bruce Bricks"
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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]
1 Jul 2016, 7:16 am
” [More…] ‘Hold’ everything: SEC may be stuck at three commissioners for a while by Bruce Carton in Compliance Week As I have been following here for many months, President Obama nominated Hester Peirce and Lisa Fairfax to be SEC commissioners in October 2015 to fill open Republican and Democrat seats on the Commission, respectively. [read post]
1 May 2015, 5:00 am
Selerity Strikes Gold with Early Look at Twitter Earnings Release by Bruce Carton in Compliance Week According to Mashable, Selerity did not simply stumble upon the earnings release. [read post]
19 Jul 2013, 5:00 am
Snapchat: The New Way to Tell Everyone that “Blue Horseshoe Loves Anacott Steel” by Bruce Carton Frankly, I’m a little disappointed that I didn’t figure this angle out on my own, given (a) the amount of time I spend writing about insider trading, and (b) the fact that I have two teenagers actively using Snapchat, but hey, better late than never. [read post]
22 Jul 2016, 6:00 am
[More…] Adding ‘father-son’ to the Familial Betrayal list by Bruce Carton in Compliance Week A review of the Familial Betrayal archives here at Enforcement Action shows that we have not chronicled any father-son betrayals to date. [read post]
10 Apr 2020, 6:58 am
If you or a loved one is injured, call Associates and Bruce L. [read post]
28 Jun 2016, 11:14 am
Brown, Bruce. [read post]
1 Dec 2017, 9:26 am
In a counterintuitive approach, given that the rise of smartphones appears to be one of the main driving forces in the decline of brick-and-mortar retail, many retailers are utilizing mobile engagement with consumers to drive sales. [read post]
1 May 2011, 1:45 pm
I don't mean to pick on Wells Fargo, but that branding campaign is a few bricks short of a load. [read post]
31 Mar 2009, 10:00 pm
When Bruce Raymond founded Raymond & Bennett, he decided to adapt the Walmart model of cutting out steps throughout the process of service delivery including "becoming a fully digital, paperless office," eliminating support staff, and hiring a mix of virtual associates who work from their homes and traditional "brick-and-mortar" associates. [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]
17 Jul 2015, 5:00 am
Chamber: 28 Recommendations on SEC Enforcement Practices by Bruce Carton in Compliance Week The report offers several recommendations about a topic that is currently generating considerable controversy: SEC administrative proceedings. [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]
26 Feb 2016, 6:00 am
So did Bruce Carton. [read post]
20 Nov 2015, 6:09 am
[More…] SEC’s Piwowar Takes Another Shot at ‘Flawed’ Enforcement Statistics by Bruce Carton in Compliance Week In his remarks this week at the 34th Annual Current Financial Reporting Issues Conference, SEC Commissioner Michael S. [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]
18 Dec 2015, 5:00 am
[More…] CFTC Brings First Insider Trading Case by Bruce Carton in Compliance Week Until last week, the CFTC had never been brought an insider trading case for commodities trading. [read post]
10 Jun 2016, 7:16 am
In his piece Hubbs cited to a Department of Justice (DOJ) Press Release from then Deputy Assistant Attorney General Bruce Swartz around the resolution of the Hewlett-Packard (HP) FCPA resolution for the following, “Hewlett-Packard subsidiaries created a slush fund for bribe payments, set up an intricate web of shell companies and bank accounts to launder money, employed two sets of books to track bribe recipients, and used anonymous e-mail accounts and prepaid mobile telephones to… [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]
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]
