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8 Feb 2013, 5:00 am
‘Without Wheels’: Sometimes Circumstantial Evidence Can Be Quite Powerful by Bruce Carton in Compliance Week The SEC alleged that Vance learned about the merger when he was asked to help Clear One’s CEO resolve an e-mail issue and saw confidential merger documents, and tipped Wellington. [read post]
8 Feb 2013, 5:00 am
‘Without Wheels’: Sometimes Circumstantial Evidence Can Be Quite Powerful by Bruce Carton in Compliance Week The SEC alleged that Vance learned about the merger when he was asked to help Clear One’s CEO resolve an e-mail issue and saw confidential merger documents, and tipped Wellington. [read post]
2 Oct 2015, 5:00 am
The Curious Incident of the ‘Life Coach’ and the Press Release by Bruce Carton in Compliance Week As I’ve observed before, the SEC loves to craft press release headlines that feature defendants’ interesting or high-profile jobs. [read post]
3 Mar 2010, 4:55 am
Bruce Carton was brought in to replace Carolyn, and Eric Lipman later came aboard to fill Ambrogi's loafers.Bruce was already a known quantity in the blawgosphere. [read post]
4 Jan 2013, 5:00 am
Khuzami Posts Blog Comment Defending SEC’s Record, Policies by Bruce Carton in Compliance Week In a December 27 post, Johnson wrote that as Robert Khuzami will reportedly soon step down as Director of Enforcement at the SEC, “the Obama administration should press for the appointment of Neil Barofsky, former special inspector general for the Troubled Asset Relief Program, to this position. [read post]
4 Jan 2013, 5:00 am
Khuzami Posts Blog Comment Defending SEC’s Record, Policies by Bruce Carton in Compliance Week In a December 27 post, Johnson wrote that as Robert Khuzami will reportedly soon step down as Director of Enforcement at the SEC, “the Obama administration should press for the appointment of Neil Barofsky, former special inspector general for the Troubled Asset Relief Program, to this position. [read post]
21 May 2015, 5:00 am
Former SEC Chairman Cox Weighs in on Administrative Proceedings by Bruce Carton in Compliance Week On Wednesday, former SEC Chairman Christopher Cox offered his own interesting perspective on the SEC’s use of administrative proceedings. [read post]
19 Oct 2012, 6:50 am
Bruce Carton organized an excellent day of panels devoted to a number of securities enforcement topics. [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]
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]
24 Dec 2009, 4:23 am
Bruce Carton, who has taken over Legal Blog Watch from Carolyn Elefant and uses his wonderful sense of humor to offset the very serious Bob Ambrogi, runs through a list from New York Magazine. 1. [read post]
17 Jul 2009, 12:02 pm
Cuban from Bruce Carton for Securities Docket The SEC v. [read post]
20 Dec 2012, 5:00 am
Securities and Exchange Commission Best Practices for Hedge Funds to Navigate Their Own ‘Misaligned Incentives’ by Bruce Carton in Compliance Week SEC Enforcement Division’s Private Equity Initiative in Compliance Avenue Dawn of the Zombie Funds [read post]
20 Dec 2012, 5:00 am
Securities and Exchange Commission Best Practices for Hedge Funds to Navigate Their Own ‘Misaligned Incentives’ by Bruce Carton in Compliance Week SEC Enforcement Division’s Private Equity Initiative in Compliance Avenue Dawn of the Zombie Funds [read post]
8 Oct 2010, 3:25 pm
Both Eriq Gardner at The Hollywood Reporter, Esq. and Bruce Carton at Legal Blog Watch have made funny work of a lawsuit involving the man pictured on the cover of Dido's 2008 album Safe Trip Home. [read post]
26 Sep 2016, 5:30 am
Cuban from Bruce Carton for Securities Docket The SEC v. [read post]
20 Oct 2009, 4:00 am
” References: SEC Charges Billionaire Hedge Fund Manager Raj Rajaratnam with Insider Trading – SEC Press Release SEC Complaint Against Rajaratnam, Galleon, and others – hosted on JD Supra A Zero Percent Chance of Success by Bruce Carton on Enforcement Action "Zero Percent Chance" Case Gets Worse by Bruce Carton on Enforcement Action US v. [read post]
17 Dec 2009, 1:03 pm
Bruce Carton in the Law Blog Watch, reports that one London law firm, Lloyd Platt & Company, is offering a gift voucher that entitles the bearer to a consultation with a divorce lawyer. [read post]
16 Feb 2009, 10:00 pm
Please join Bruce Carton, Editor of Securities Docket, and me for a webcast that will discuss the best new tools and strategies available to securities and compliance counsel and professionals. [read post]