Search for: "Bruce Carton"
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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]
19 Mar 2010, 5:00 am
To listen to or download the debut program featuring Bruce Carton’s interview with Sanjay Wadhwa, Deputy Chief of the SEC’s new Market Abuse Unit, please click on the iTunes link below. [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]
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]
23 Oct 2014, 5:00 am
Changes in Securities Enforcement Thanks to Dodd-Frank by Bruce Carton in Securities Docket Stillwell versus the SEC complaint (.pdf) Peixoto complaint SEC Administrative Case Rules Likely Out Of Date, GC Says SEC ALJs Face Free Enterprise Challenge by Keith Paul Bishop in California Corporate and Securities Law Why Is It Called a “Wells Notice”? [read post]
10 Sep 2009, 4:00 am
References: Executive Summary of the Madoff Report Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme – Public Version Monday Morning Quarterbacking with the Madoff Report by Ellen Padgor of the White Collar Crime Prof Blog PBS Video: Madoff Report Highlights SEC Lapses in Detecting Fraud from Bruce Carton of Securities Docket Lessons from Madoff (& the SEC) by Bruce MacEwen of Adam Smith, Esq. [read post]
20 Dec 2010, 3:09 am
Not so fast, Carton. [read post]
3 Oct 2010, 4:37 am
" Odd enough that Bruce Carton tried to entice Three Angry Lawyers to attend by offering to pay their admission. [read post]
18 Jun 2013, 1:15 am
Indeed, as reported in Bruce Carton’s June 12, 2012 Compliance Week article (here), the SEC official in charge of the agency’s whistleblower program recently told an industry conference that in the coming months the whistleblower program will produce “incredibly impactful cases” with “some extremely significant whistleblower awards. [read post]
19 Mar 2010, 9:30 am
Ron Coleman (Likelihood of Confusion & Likelihood of Success): "Gotta get a Round Tuit"Colin Samuels (Infamy or Praise) "A Round Tuit (23)"Bob Ambrogi (LawSites) "Should I Shut Down LawSites and Start Anew"; "More on Whether to Scrap My Blog"Kevin O'Keefe (Real Lawyers Have Blogs) "Focus on Engagement, Not the Title of Your Blog, For Blogging Success" Bruce Carton (Legal Blog Watch) "Should I Scrap My Law… [read post]
8 Jun 2012, 5:00 am
Dirty Dozen: Lawyer Receives Longest-Ever Sentence for Insider Trading by Bruce Carton in Compliance Week’s Enforcement Action Unlike Raj Rajaratnam, attorney Matthew Kluger was not a billionaire hedge fund founder. [read post]
28 Mar 2012, 6:38 pm
Update #2 (3/31/12): At Legal Blog Watch, Bruce Carton made some additional suggestions. [read post]
21 Nov 2011, 1:45 pm
Bruce Carton at Legal Blog Watch makes some good points about how ridiculous this whole thing is: In a press release, ICM stated that “We couldn’t be happier about the success of the Sunrise period. [read post]
28 Oct 2011, 5:00 am
These are some compliance-related stories that caught my attention recently: The Role of Compliance and Ethics in Risk Management by Bruce Carton in Compliance Week’s Enforcement Action Carlo V. di Florio, director of the SEC’s office of compliance inspections and examinations, recently spoke at the National Society of Compliance Professionals’ National Meeting held in Baltimore, Maryland. di Florio focused his remarks on three main points: Ethics is fundamental… [read post]
26 Aug 2010, 4:30 am
H/T Bruce Carton at Legal Blog Watch Copyright © 2010 Simple Justice NY LLC. [read post]
23 Jan 2009, 4:18 pm
Christopher Jensen, Baltimore/Washington DC, Senior Vice President at Hudson Legal, (@thelongball24)Bob Ambrogi, Rockpot, MA, lawyer, writer and media consultant, (@bobambrogi)Lindsay Griffith, Barnegat, NJ, Director of Network Development for International Lawyers Network,@LindsayGriffith)Roy Mura, Buffalo, NY, insurance coverage and fraud lawyer, (@royamura)Sami Hero, New Jersey, VP Open Web at LexisNexis, (@samihero)Cristoph Schmaltz, NYC, Social Software Consultant at Headshift, (@cristoph)Lee… [read post]
7 Jun 2013, 5:43 am
Warren Asks SEC for Any Research on Benefits of ‘No Admission’ Settlements by Bruce Carton in Compliance Week At the hearing, new SEC Chair Elisse Walter began to testify about how the SEC “look[s] at the distinction between what we could get if we go to trial, and what we could get if we don’t,” but she was shut down by Sen. [read post]
22 Mar 2011, 3:41 am
From Shaun Martin's California Appellate Report (via the once formidable Legal Blog Watch, which now consists of Bruce Carton's musings if he gets a free moment), comes People v. [read post]
19 Mar 2010, 7:51 am
[Others who are wrestling with the moving/naming issue and commenting on it are Venkat Balasubramani @ Spam Notes; Bob Ambrogi @ Law Sites, and again; Ron Coleman @ Liklihood of Confusion; Bruce Carton @ Legal Blog Watch]But the bigger issue is the name of this blog. [read post]
