Search for: "Bruce Carton"
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23 Apr 2013, 5:18 am
Brokerage Firm by Bruce Carton in Compliance Week [read post]
12 Apr 2013, 5:00 am
Hedge Fund Survey Shows Misconduct Believed to be Widespread by Bruce Carton in Compliance Week A recent survey of hedge fund professionals indicates that misconduct is widespread in the industry, and that a very large percentage of professionals in the industry are prepared to report wrongdoing under a program such as the SEC’s new whistleblower program under Dodd-Frank. [read post]
12 Apr 2013, 5:00 am
Hedge Fund Survey Shows Misconduct Believed to be Widespread by Bruce Carton in Compliance Week A recent survey of hedge fund professionals indicates that misconduct is widespread in the industry, and that a very large percentage of professionals in the industry are prepared to report wrongdoing under a program such as the SEC’s new whistleblower program under Dodd-Frank. [read post]
22 Mar 2013, 5:00 am
NoDoz: Early Birds Needed to Work at SEC by Bruce Carton in Compliance Week What impact will White will have on the SEC? [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]
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]
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]
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]
24 Jan 2013, 6:35 am
Bruce Carton at Legal Blog Watch called it: following a Facebook photo of a Subway sandwich that measured eleven inches, a lawsuit has been filed, seeking compensatory damages and a change to Subway's practices. [read post]
11 Jan 2013, 5:00 am
‘They Owe It to Me’: FBI Identifies Top Email Phrases Used by Fraudsters by Bruce Carton in Compliance Week According to research conducted by Ernst & Young in collaboration with the FBI, these phrases are among the top terms used by employees in emails discussing fraud. [read post]
11 Jan 2013, 5:00 am
‘They Owe It to Me’: FBI Identifies Top Email Phrases Used by Fraudsters by Bruce Carton in Compliance Week According to research conducted by Ernst & Young in collaboration with the FBI, these phrases are among the top terms used by employees in emails discussing fraud. [read post]
7 Jan 2013, 5:00 am
Pileggi of Fox Rothxchild LLP Enforcement Action by Bruce Carton FCPA Blog by Richard L. [read post]
7 Jan 2013, 5:00 am
Pileggi of Fox Rothxchild LLP Enforcement Action by Bruce Carton FCPA Blog by Richard L. [read post]
7 Jan 2013, 5:00 am
Pileggi of Fox Rothxchild LLP Enforcement Action by Bruce Carton FCPA Blog by Richard L. [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]
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]
19 Dec 2012, 5:00 am
” Robert Khuzami, Director of the SEC’s Enforcement Division Sources: Another Hedge Fund Nailed for ‘No Skin in the Game‘ by Bruce Carton in Compliance Week SEC Charges Connecticut-Based Adviser for “Skin in the Game” Misstatements About CDOs SEC Order: Joseph A. [read post]
