Search for: "Bruce Carton" Results 141 - 160 of 254
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1 Jul 2016, 7:16 am by Doug Cornelius
” [More…] ‘Hold’ everything: SEC may be stuck at three commissioners for a while by Bruce Carton in Compliance Week As I have been following here for many months, President Obama nominated Hester Peirce and Lisa Fairfax to be SEC commissioners in October 2015 to fill open Republican and Democrat seats on the Commission, respectively. [read post]
6 Dec 2009, 7:50 am
Robert Ambrogi and Bruce Carton find newsworthy stories in the legal field. [read post]
19 Dec 2012, 5:00 am by Doug Cornelius
” 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]
3 Dec 2008, 1:00 am
So I set up a group for compliance since I noted Bruce Carton from Securities Docket and Compliance Week was on the site. [read post]
18 Mar 2009, 9:45 am
Friehling - hosted on JD Supra SEC Charges Madoff Auditors With Securities Fraud, "Pretending" to Perform Audit by Bruce Carton of Securities Docket Madoff Accountant Charged With Fraud by Chad Bray for WSJ.com Madoff’s auditor… doesn’t audit? [read post]
11 Mar 2010, 9:00 am
There should be some great compliance bloggers there: Francine McKenna of re: The Auditors, Bruce Carton of Securities Docket, Tom Fox of Tfoxlaw's Blog (he needs a better name for his blog), Alex Howard of SearchCompliance.com, and Compliance Week Editor In Chief Matt Kelly For a change of pace, I'm speaking at Pax East on March 26 on Bringing up the Next Generation of Geeks. [read post]
6 Jan 2009, 10:15 am
'Bruce Carton (@brucecarton), Editor of 'Securities Docket' noted, 'The truth: LexTweet is a brilliant concept, visually beautiful. [read post]
1 Jun 2010, 5:00 am by Doug Cornelius
Sebbag and Hoxie SEC Press Release: SEC Charges Disney Employee and Boyfriend in Brazen Insider Trading Scheme Fortune Favors the Bold, But Not the Bold and Foolish by Bruce Carton in Compliance Week’s Enforcement Action Sting Operation Catches Two Insider Trading by Tom Gorman Disney Duo Arrested in Insider Trading Scheme by Zachery Kouwe in Dealbreaker Disney Insider-Trading Probe: Criminals Do Not Take Note by Nathan Koppel in WSJ.com’s Law Blog [read post]
19 Dec 2012, 5:00 am by Doug Cornelius
” 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]
10 Apr 2015, 5:00 am by Doug Cornelius
SEC Brings First Action on Whistleblower ‘Pre-taliation’ by Bruce Carton in Compliance Week The SEC has warned for some time now that it views companies’ attempts to potentially intimidate employees from coming forward as whistleblowers through confidentiality agreements as a form of retaliation — or “pre-taliation,” as the SEC’s Sean McKessy has dubbed it. [read post]
11 Mar 2010, 9:00 am
There should be some great compliance bloggers there: Francine McKenna of re: The Auditors, Bruce Carton of Securities Docket, Tom Fox of Tfoxlaw's Blog (he needs a better name for his blog), Alex Howard of SearchCompliance.com, and Compliance Week Editor In Chief Matt Kelly For a change of pace, I'm speaking at Pax East on March 26 on Bringing up the Next Generation of Geeks. [read post]
5 May 2009, 11:17 am
See: SEC Charges Hedge Fund Manager and Bond Salesman in First Insider Trading Case Involving Credit Default Swaps - SEC press release SEC Complaint against Jon-Paul Rorech and Renato Negrin - hosted on JD supra SEC Files First Credit Default Swap Insider Trading Case - SEC litigation release SEC Files First-Ever Insider Trading Case Involving Credit Default Swaps by Bruce Carton of Securities Docket [read post]
11 Mar 2009, 12:12 pm
Bruce Carton moderated a panel of Veronica Rendon of Arnold & Porter, Richard Swanson of Arnold & Porter and Jeff Nielsen of Navigant Consulting, Inc. [read post]
24 Apr 2015, 5:25 am by Doug Cornelius
Advocacy Groups Looking for an SEC Superhero by Bruce Carton in Compliance Week Today, it appears, the SEC chair must be prepared for far more creative scrutiny, and in very different venues. [read post]
18 May 2012, 5:00 am by Doug Cornelius
At the SEC, Investigations About Investigators Who Investigate Other Investigators by Bruce Carton in Compliance Week David Kotz, the former SEC Inspector General, departed the agency in January 2012 to rejoin the private sector, and it seemed as if this surge of “investigations of investigations” had ended. [read post]
19 Mar 2010, 5:00 am by Doug Cornelius
To listen to or download the debut program featuring Bruce Carton’s interview with Sanjay Wadhwa, Deputy Chief of the SEC’s new Market Abuse Unit, please click on the iTunes link below. [read post]
18 May 2009, 4:00 am
CBS News video story: References: Copy of SEC IG Report: "Employee's Securities Transactions Raise Suspicions of Insider Trading" - by Bruce Carton of Securities Docket SEC Attorneys Probed For Insider Trading by CBS News investigative producer Laura Strickler and chief investigative correspondent Armen Keteyian. [read post]
1 May 2015, 5:00 am by Doug Cornelius
Selerity Strikes Gold with Early Look at Twitter Earnings Release by Bruce Carton in Compliance Week According to Mashable, Selerity did not simply stumble upon the earnings release. [read post]
22 Jan 2010, 5:00 am by Doug Cornelius
by Bruce Carton for Compliance Week’s Enforcement Action Today, though, the SEC filed a settled enforcement action charging Charles J. [read post]
10 Sep 2010, 5:52 am by Jon Hyman
– from Michael Haberman’s HR Observations Social Media Appeals Court Rules Counsel May 'Google' Potential Jurors During Jury Selection – from Bruce Carton at Law.com - Inside Opinions: Legal Blogs Social Media in the Jury Box – from Molly DiBianca’s Going Paperless Trashing ex-employers – from Jen Weigel at the Chicago Tribune Should Employers Be Forbidden to Facebook You? [read post]