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14 Jul 2009, 10:29 am
Significant topics to be covered, include: -Monitoring the portfolio: When and why you would want to be a lead plaintiff -Don't leave money on the table: Filing claim forms in settled cases to recover losses -Opting in: Navigating the waters of non-US securities litigation -Opting out: When does it make sense to leave the safety of the class action and pursue an individual case Bruce Carton of Securities Docket will moderate the webcast, and panelists include Adam Savett,… [read post]
13 Jul 2009, 2:44 am
Claims arising out of corporate bankruptcy represent a significant stress test for directors’ and officers’ liability insurance coverage. [read post]
8 Jul 2009, 2:16 am
” The webcast will be moderated by Bruce Carton of Securities Docket and the panelists will also include Francine McKenna of the Re: The Auditors blog; Lyle Roberts of The 10b-5 Daily blog; and Tom Gorman of the SEC Actions blog. [read post]
6 Jul 2009, 3:36 am
” The webcast will be moderated by Bruce Carton of Securities Docket and the panelists will also include Francine McKenna of the Re: The Auditors blog; Lyle Roberts of The 10b-5 Daily blog; and Tom Gorman of the SEC Actions blog. [read post]
1 Jul 2009, 3:05 am
While the number of securities class action filings through the year’s first half still project to an annualized filing rate consistent with historical averages, there was a noticeable slackening in the number of new securities lawsuits filed as the second quarter of 2009 progressed. [read post]
8 Jun 2009, 1:00 pm
In particular, it was great to spend time with Bruce Carton, Francine McKenna, Scott Cohen, Matty Kelly and Alex Howard. [read post]
5 Jun 2009, 6:44 am
Attorney in the Fraud and Corruption Section shared his insights and Bruce Carton did his best Phil Donahue impression by eliciting questions from the audience. [read post]
29 May 2009, 9:00 am
References: Euro-Shareholder Trend: Throwing Stuff at Board Members by Bruce Carton in Enforcement Action Proxy Season Developments: Ten Signs that Things are Changing Online by Broc Romanek on TheCorporateCounsel.net Blog Notice and Access: Statistical Overview of Use with Beneficial Shareholders (.pdf) by Broadridge Notice and Access Resource Center Target’s Annual Meeting Campaign: “Bringing It” Online by Broc Romanek on TheCorporateCounsel.net… [read post]
29 May 2009, 9:00 am
References: Euro-Shareholder Trend: Throwing Stuff at Board Members by Bruce Carton in Enforcement Action Proxy Season Developments: Ten Signs that Things are Changing Online by Broc Romanek on TheCorporateCounsel.net Blog Notice and Access: Statistical Overview of Use with Beneficial Shareholders (.pdf) by Broadridge Notice and Access Resource Center Target’s Annual Meeting Campaign: “Bringing It” Online by Broc Romanek on TheCorporateCounsel.net… [read post]
28 May 2009, 1:55 pm
All of this has led to a new round of editorials calling for the SEC to be demolished and replaced, says Carton. [read post]
26 May 2009, 1:00 pm
References: FCPA Investigations on the Rise, Including Sun Microsystems and Royal Dutch Shell by Corporate Compliance Insights FCPA Prosecutions by DOJ Surge: 120 Cases Now Under Investigation by Bruce Carton of Securities Docket Foreign Corrupt Practices Act 2.0 - Its Role In The 2009 Global Economy from The Metropolitan Corporate Counsel [read post]
26 May 2009, 2:42 am
Many of the subprime and credit crisis related securities lawsuits, particularly those filed in early in the subprime meltdown, involve subprime mortgage originators and financial institutions that pooled the mortgages into investment securities. [read post]
21 May 2009, 11:00 am
SlideDeck with Notes: Social Media and Compliance - Hosted on JD supra Sites Shown: Google Reader Compliance Building Wall Street Journal’s RSS feeds Securities Docket by Bruce Carton Integrity at Work by Bill Piwonka of EthicsPoint On Point by David Childers of EthicsPoint SEC.gov Updates: Press Releases White House Blog US Senate on YouTube President of Russia’s Blog Technorati’s State of the Blogosphere Compete’s Comparison of Twitter,… [read post]
21 May 2009, 11:00 am
SlideDeck with Notes: Social Media and Compliance - Hosted on JD supra Sites Shown: Google Reader Compliance Building Wall Street Journal’s RSS feeds Securities Docket by Bruce Carton Integrity at Work by Bill Piwonka of EthicsPoint On Point by David Childers of EthicsPoint SEC.gov Updates: Press Releases White House Blog US Senate on YouTube President of Russia’s Blog Technorati’s State of the Blogosphere Compete’s Comparison of Twitter,… [read post]
18 May 2009, 4:00 am
CBS News video story: References: Copy of SEC IG Report: "Employee's Securities Transactions Raise Suspicions of Insider Trading" - by Bruce Carton of Securities Docket SEC Attorneys Probed For Insider Trading by CBS News investigative producer Laura Strickler and chief investigative correspondent Armen Keteyian. [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]
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]
22 Apr 2009, 2:25 am
Hat tip to Bruce Carton at the Securities Docketfor the tweet that alerted me to Aguilar’s article. [read post]
14 Apr 2009, 4:00 am
See: For Corporate Lawyers, There’s Just One Client by Kara Scannell for the Wall Street Journal Judge Carney's Broadcom Ruling Grabs Attention of White Collar Bar by Bruce Carton for Securities Docket A Case of Divided Loyalties by Kevin M. [read post]
30 Mar 2009, 4:00 am
See also: Closing the Congressional Insider-Trading Loop by Bruce Carton Senators’ Stocks Beat the Market by 12 Percent by FT.com Abnormal Returns from the Common Stock Investments of the U.S. [read post]
