Search for: "Bruce Carton"
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31 Jul 2015, 6:00 am
AP Offers Up New Treasure Trove of SEC-Related Videos by Bruce Carton in Compliance Week The Associated Press and British Movietone announced on Wednesday of last week that they have made more than 550,000 video stories dating from 1895 to the present available on their YouTube channels. [read post]
23 Oct 2009, 5:43 am
[Valetk, Law.com; Volokh] “Attorney Charged With Posting Ad Seeking ‘Secretary With Benefits’” [Legal Profession Blog via Bruce Carton, Legal Blog Watch] Maker of Monster energy drinks drops its cease and desist demand against Vermonster beer [Burlington Free Press] Putative class action filed against University of Illinois over clout-in-admissions scandal; a contest challenges readers to come up with best arguments for dismissal [Russell… [read post]
15 Sep 2015, 7:05 am
Sources: SEC Obtains $30 Million From Traders Who Profited on Hacked News Releases SEC Charges 32 Defendants in Scheme to Trade on Hacked News Releases ‘Outsider Trading’ Crackdown Announced by Bruce Carton in Compliance Week The SEC’S “Outsider Trading” Dragnet by John Reed Stark in Cybersecurity Docket Ukrainian Firm, CEO to Pay $30 Million to Settle SEC Charges by Chelsey Dulaney in the Wall Street Journal [read post]
2 Dec 2011, 10:51 am
Law.com’s Legal Blog Watch won Blawg 100 honors in 2008 and 2009, at which time I was the co-author of it, first with Carolyn Elefant and later with Bruce Carton. [read post]
3 Mar 2009, 11:49 am
See also: SEC Press Release 2009-39 - SEC Warns Investors and Financial Firms of Government Impersonators "Impersonation of Securities Regulator" Scam Returns By Bruce Carton from Compliance Week ($$) Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit from the SEC [read post]
20 Nov 2009, 9:00 am
Be Careful Telling Therapist About Insider Trading by Bruce Carton for Enforcement Action The U.S. [read post]
2 Mar 2009, 12:12 pm
Thanks to Bruce Carton, again, for announcing my arrival on Twitter. [read post]
4 Nov 2011, 5:00 am
from the Trusted Advisor A summary infographic on five questions from the Trust Quotient self-assessment Investigation Nation: SEC Employees and Inspector General Play Cat-and-Mouse by Bruce Carton in Compliance Week’s Enforcement Action A group called Citizens for Responsibility and Ethics in Washington (CREW) has asked the SEC Inspector General to launch an investigation into whether SEC employees are using private email accounts and cell phones to avoid having their… [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]
21 Jan 2011, 11:31 am
Bruce Carton explains how denying crucial funds to the already cash-strapped agencies tasked with implementing Dodd-Frank is stopping implementation in its tracks. [read post]
23 Apr 2013, 5:18 am
Brokerage Firm by Bruce Carton in Compliance Week [read post]
12 Aug 2009, 4:00 am
References: SEC Sues Madoff CFO, Provides New Details of ScamBy Bruce Carton for Enforcement Action Information filed by the Department of Justice Against DiPascali – hosted by JD Supra SEC Complaint Against DiPascali Ex-Madoff Finance Chief Frank DiPascali Pleads Guilty By David Voreacos and Thom Weidlich for Bloomberg Bernard Madoff’s Right Hand Man Pleads Guilty, Will Tell All from ABC news.com [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]
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]
2 Sep 2011, 4:48 am
First Case Brought Under UK Bribery Act Looks Nothing Like You Expected by Bruce Carton in Enforcement Action The first-ever action under the UK Bribery Act has now been filed–but it probably doesn’t look anything like what you expected. [read post]
24 Oct 2014, 5:00 am
SEC Breaks Down FY 2014 Enforcement Results, Highlights by Bruce Carton in Compliance Week Late last week, the SEC issued a press release summarizing its enforcement results for the agency’s fiscal year 2014, which ended September 30, 2014. [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]
1 Mar 2009, 4:39 pm
Thanks to Bruce Carton and Securities Docket for pointing out the interview: Sunday Night: Harry Markopolos on 60 Minutes. [read post]
27 Feb 2009, 10:00 pm
As Bruce Carton and I discussed in our Webinar on 2.0 for Securities and Compliance Professionals, blogs are just communications tools. [read post]
23 Apr 2013, 5:18 am
Brokerage Firm by Bruce Carton in Compliance Week [read post]
