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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in Securities Docket Stillwell versus the SEC complaint (.pdf) Peixoto complaint SEC Administrative Case Rules Likely Out Of Date, GC Says SEC ALJs Face Free Enterprise Challenge by Keith Paul Bishop in California Corporate and Securities Law Why Is It Called a “Wells Notice”?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]
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]
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]
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… [read post]
30 Jul 2014, 6:14 am
Sources: Meet the SEC’s 6,500 Whistleblowers by Mawwell Murphy in the Wall Street Journal FOIA Response Sheds Light on Backgrounds of SEC Whistleblowers by Bruce Carton in Compliance Week 2013 Annual Report on the Dodd-Frank Whistleblower Program How Well is the SEC’s Whistleblower Program Working? [read post]
28 Apr 2014, 7:20 am
References: OCIE Cybersecurity Initiative SEC to Launch Cybersecurity Exams of Investment Firms, Offers Sample Document Requests by Bruce Carton in Compliance Week SEC Releases Cybersecurity Examination Roadmap by Debevoise & Plimpton LLP Hacker is by Dani Latore CC BY SA [read post]
20 Mar 2014, 5:00 am
References: SEC Says Insider Ring Ate Napkins, Created Phony Documents to Hide Scheme by Bruce Carton in Compliance Week SEC Charges Stockbroker and Law Firm Managing Clerk in $5.6 Million Insider Trading Scheme SEC complaint against Eydelman and Metro Law clerk, stock broker charged in new jersey with trading on inside information stolen from prominent new york law firm Criminal complaint US v. [read post]
14 Mar 2014, 5:00 am
Behind the Myth of Insider Trading by SEC Employees by Bruce Carton in Compliance Week The authors also point to six specific cases in which “SEC employees appear to front-run the announcement that a firm is subject to costly SEC penalties (associated with the enforcement action). [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]
21 Feb 2014, 8:30 am
Mark Cuban Visits D.C. to Speak About SEC Case, Enforcement Policy by Bruce Carton in Compliance Week Cuban repeated a criticism that he also made from the courthouse steps in October following his victory at trial: that the securities laws, including the insider trading laws, are ineffective because the public often has no idea what is legal and what is illegal. [read post]
30 Jan 2014, 5:25 am
References: SEC’s ‘NEAT’ Tool Sifts Massive Quantities of Trade Data to Flag Insider Trading by Bruce Carton in Compliance Week SEC Chair Mary Jo White speech at 41st Annual Securities Regulation Institute [read post]
9 Aug 2013, 5:00 am
Bruce Carton pointed to another item in the news that also addresses the realm of what is and is not a security: Bitcoin. [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]
18 Jun 2013, 4:01 am
Bruce Carton wrote a good piece in Compliance Week two years ago discussing the benefits of having a strong insider trading compliance program. [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]
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]
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]
31 May 2013, 7:57 am
Professional SEC Whistleblower Firm Seeks Investors to Finance Investigations by Bruce Carton in Compliance Week Now, it appears that the first generation of professional whistleblowers is upon us. [read post]
31 May 2013, 7:57 am
Professional SEC Whistleblower Firm Seeks Investors to Finance Investigations by Bruce Carton in Compliance Week Now, it appears that the first generation of professional whistleblowers is upon us. [read post]
23 Apr 2013, 5:18 am
Brokerage Firm by Bruce Carton in Compliance Week [read post]
