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6 Dec 2022, 3:45 am
In 2020, following a long-term investigation into an individual’s cigarette smuggling activity, a process including court-authorized search warrants, wiretaps, grand jury subpoenas, and other investigative tools, New York seized more than $1.3 million in cash and 6,267 cartons of untaxed cigarettes, according to a press release from the Queens’ District Attorney.[2] But even law enforcement successes are costly and only stop a drop of water in the Hudson River of smuggling… [read post]
29 Sep 2022, 6:29 am
A central question in the Mar-a-Lago espionage and stolen documents investigation involves former President Donald Trump’s knowledge and involvement in retaining government records. [read post]
29 Aug 2022, 7:00 am
Magistrate Bruce Reinhart set out an appellate process by which he could overrule Justice in ordering disclosures beyond those proposed by the department. [read post]
2 Dec 2021, 2:55 am
Key Findings: Excessive tax rates on cigarettes in some states induce substantial black and gray market movement of tobacco products into high-tax states from low-tax states or foreign sources. [read post]
24 Nov 2020, 2:55 am
Key Findings: Excessive tax rates on cigarettes in some states induce substantial black and gray market movement of tobacco products into high-tax states from low-tax states or foreign sources. [read post]
23 May 2020, 4:11 am
Bruce Carton did the Eulogy at Legal Blog Watch (RIP). [read post]
4 Dec 2019, 6:00 am
Over the same period, outbound smuggling increased in nearby low-tax Delaware, from 20.3 percent to 40.6 percent, suggesting that many cartons of cigarettes are crossing the border from one state to the other. [read post]
13 Nov 2019, 3:27 am
At the time, it wasn’t so strange since Enforcement had its own logo (many thanks to Bruce Carton of the “Securities Docket” for digging that one up) which I believe is not available anywhere on the Web except for the below: SEC’s Enforcement: Do Stats Matter? [read post]
26 Nov 2017, 4:34 am
Some years ago, at the five year mark, I decided to “retire” SJ, and Bruce Carton, who wrote Legal Blog Watch at the time, called me “the blogosphere’s truth serum. [read post]
26 Sep 2016, 5:30 am
Cuban from Bruce Carton for Securities Docket The SEC v. [read post]
28 Aug 2016, 11:55 pm
As Bruce Carton also noted in his August 25, 2016 Compliance Week post about Alexander’s return (here), Alexander also reportedly paid for 200 guests to fly from New York and Israel for his son’s Bar Mitvah. [read post]
11 Aug 2016, 6:16 am
Sources: SEC Action for Stifling Whistleblowers in Confidentiality Agreements SEC Penalizes Company Over Restrictive Severance Agreements by Samuel Rubenfeld in the Wall Street Journal Company Paying Penalty for Violating Key Whistleblower Protection Rule SEC order against BlueLinx The Rise of the Professional Whistleblower Whistleblowers Are Poised to Collect $100 Million Hybrid group of professional whistleblowers and insiders on cusp of huge awards by Bruce Carton [read post]
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]
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]
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]
29 Apr 2016, 8:32 am
[More…] SEC’s Ceresney says more cybersecurity cases ‘coming down the pike’ by Bruce Carton in Compliance Week The SEC has begun to bring cybersecurity-related enforcement actions under Regulation S-P of the Securities Act of 1933, and Enforcement Director Andrew Ceresney stated this week that more such cases are now “coming down the pike. [read post]
26 Feb 2016, 6:00 am
So did Bruce Carton. [read post]
18 Feb 2016, 7:32 am
Sources: SEC: Deutsche Bank Analyst Issued Stock Rating Inconsistent With Personal View SEC order Regulation Analyst Certification Ex-Deutsche Bank Analyst to Pay $100,000 Over Ratings by Liz Moyer in DealBook SEC dusts off Reg AC to charge former Deutsche Bank analyst by Bruce Carton in Compliance Week [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]
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]
