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11 Jun 2010, 5:00 am
Here are some interesting stories from the past week: SEC Union: Staff Need Not Check BlackBerrys After Hours by Bruce Carton in Compliance Week‘s Enforcement Action In short, Khuzami and his senior colleagues can call, email and text SEC Enforcement staff all they want after hours–but can’t do much about it if staff members fail to pick up or respond until the next business hours begin. [read post]
19 Feb 2010, 5:00 am
Details Emerge on SEC Office of Market Intelligence by Bruce Carton in Compliance Week One of the first tools that the Securities Exchange Commission launched after it ushered itself into the Internet era in the mid-1990s was the “Enforcement Complaint Center,” a fancy name for an e-mail box at the SEC where the public could send tips. [read post]
8 Jun 2010, 10:21 am
Our own Bruce Carton has been dutifully maintaining the "Legal Blog Watch Checklist for Bank Robbers" since last December. [read post]
13 Oct 2009, 12:30 pm
My colleague Bruce Carton mentioned the layoffs in a post here yesterday. [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]
11 Jun 2015, 5:00 am
Bruce Carton’s CyberSecurity Docket hosted a great webinar on cyber insurance. [read post]
14 Aug 2015, 5:00 am
Beware the ‘SEC Impersonator’ Scams Targeting Your Money by Bruce Carton in Compliance Week You might not think that fraudsters impersonating the SEC would be a significant or ongoing problem but the volume of the SEC’s “Investor Alerts” on this topic would seem to suggest otherwise. [read post]
25 Nov 2008, 3:24 pm
From Bruce Carton, editor of Securities Docket, via a "tweet" on Twitter (don't ask, Google it), comes word of one lawyer's nightmare of a day in court. [read post]
12 Nov 2010, 6:29 am
Bruce Carton of Legal Blog Watch (via Overlawyered.com) notes the passing of Nordstrom's employee "handbook," which consisted of a single index card with the admonition to "use good judgment in all situations. [read post]
30 Apr 2012, 10:33 am
Bruce Carton at Legal Blog Watch noticed that the trial of accused murderer Joshua Monson is going forward despite his best efforts to derail it by poking three successive lawyers with some sort of writing implement. [read post]
12 Feb 2010, 4:00 am
The credit goes to Bruce Carton, who read about the idea and liked it. [read post]
1 Oct 2009, 11:05 am
Bruce Carton of Securities Docket put together a great panel of securities and accounting experts to discuss the evolution of fair value accounting regulations and the impact of the guidelines in accounting and legal contexts. [read post]
1 Oct 2009, 11:05 am
Bruce Carton of Securities Docket put together a great panel of securities and accounting experts to discuss the evolution of fair value accounting regulations and the impact of the guidelines in accounting and legal contexts. [read post]
10 Oct 2014, 5:00 am
Yet Another Study Debunks ‘Revolving Door’ Worries by Bruce Carton in Compliance Week Although I have followed the revolving door issue closely for many years, I have never seen any actual evidence that the “SEC lawyers will go easy on firms to get a future job” theory is, in fact, true. [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]
27 Mar 2015, 6:00 am
SEC Loses an AP for First Time Since FY 2013 by Bruce Carton in Compliance Week In FY 2014, however, the SEC maintained 100% perfection in its administrative proceedings. [read post]
8 Apr 2010, 5:02 am
Bruce Carton twitted yesterday about this latest barrage from scam lawyer website BestAttorneysOnline.. [read post]
23 Jul 2010, 3:40 am
Via Bruce Carton at Legal Blog Watch, a fascinating question arose at the Consumerist about whether a retailer has the authority to stop a patron who has purchased and paid for goods on the way out of the store and demand that the shopper provide his receipt for inspection. [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]
