Search for: "Bruce Carton" Results 161 - 180 of 254
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19 Jul 2013, 5:00 am by Doug Cornelius
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]
7 Nov 2014, 4:00 am by Doug Cornelius
Gallagher: Dodd-Frank Has SEC ‘Shoveling Manure’ for ‘No Discernible Purpose’ by Bruce Carton in Compliance Week In his latest attack on the law he recently called “Dodd-Frankenstein,” SEC Commissioner Daniel S. [read post]
22 Jul 2016, 6:00 am by Doug Cornelius
[More…] Adding ‘father-son’ to the Familial Betrayal list by Bruce Carton in Compliance Week A review of the Familial Betrayal archives here at Enforcement Action shows that we have not chronicled any father-son betrayals to date. [read post]
16 Jan 2015, 5:37 am by Doug Cornelius
SEC Enforcement – An Analysis of Key Developments in 2014 by Bruce Carton in Compliance Week In a webcast I moderated yesterday, a panel consisting of four former senior SEC enforcement attorneys and accountants–including former SEC Enforcement Director Bill McLucas of law firm WilmerHale–analyzed the most important developments in SEC enforcement from 2014, and looked ahead at what they expect in 2015. [read post]
11 Mar 2010, 1:50 am by Kevin LaCroix
For those who remain skeptical on the topic, I suggest a quick review of the March 10, 2010 post by Bruce Carton on his Securities Docket blog (here). [read post]
23 Oct 2014, 5:00 am by Doug Cornelius
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in Securities Docket Stillwell versus the SEC complaint (.pdf) Peixoto complaint SEC Administrative Case Rules Likely Out Of Date, GC Says SEC ALJs Face Free Enterprise Challenge by Keith Paul Bishop in California Corporate and Securities Law Why Is It Called a “Wells Notice”?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]
28 Mar 2009, 10:00 am
SEC's OCIE Unit Ramps Up Training on Detecting Ponzi Schemes by Bruce Carton of Securities Docket Burned by its high-profile failure in the Madoff case, the SEC is ramping up its training of staff on how to detect certain types of securities fraud. [read post]
20 Feb 2015, 6:48 am by Doug Cornelius
  Feds: Employee Impersonated Firm’s President in SEC Inquiry by Bruce Carton in Compliance Week Yesterday, federal prosecutors in the Southern District of New York announced that they have charged Steven Hart with obstruction of justice and perjury relating to an SEC investigation. [read post]
13 Jun 2012, 5:49 pm by Steve Matthews
Full marks to Bruce Carton over at Legal Blog Watch for summarizing this bullet list of law-oriented applicants: .attorney .blog (requested by nine applicants) .corp (requested by six applicants) .gmbh (requested by four applicants) .inc (requested by 11 applicants) .law (requested by five applicants) .lawyer (requested by two applicants) .legal (requested by two applicants) .llc (requested by nine applicants) .llp (requested by four applicants) .ltd (requested by seven… [read post]
11 Jan 2013, 5:00 am by Doug Cornelius
‘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]
20 Feb 2010, 9:00 am
Details Emerge on SEC Office of Market Intelligence by Bruce Carton in Compliance Week One of the first tools that the Securities Exchange Commission launched after it ushered itself into the Internet era in the mid-1990s… Read more » —- New York City Enacts New Rules for Its Pension Fund Investments February 18, 2010 New York City Comptroller John C. [read post]
21 May 2010, 5:00 am by Doug Cornelius
Has Jurisdiction Over Fraud at Public Cos. by Bruce Carton for Compliance Week’s Enforcement Action So why is Mr. [read post]
18 Feb 2016, 7:32 am by Doug Cornelius
Sources: SEC: Deutsche Bank Analyst Issued Stock Rating Inconsistent With Personal View SEC order Regulation Analyst Certification Ex-Deutsche Bank Analyst to Pay $100,000 Over Ratings by Liz Moyer in DealBook SEC dusts off Reg AC to charge former Deutsche Bank analyst by Bruce Carton in Compliance Week [read post]
20 Nov 2015, 6:09 am by Doug Cornelius
[More…] SEC’s Piwowar Takes Another Shot at ‘Flawed’ Enforcement Statistics by Bruce Carton in Compliance Week In his remarks this week at the 34th Annual Current Financial Reporting Issues Conference, SEC Commissioner Michael S. [read post]
12 May 2015, 5:00 am by Doug Cornelius
Sources: Division of Enforcement Approach to Forum Selection in Contested Actions (.pdf) SEC Enforcement Releases ‘Approach to Forum Selection in Contested Actions’ by Bruce Carton in Compliance Week SEC Publishes A Memo On Forum Selection by Thomas O. [read post]
1 Jun 2012, 5:06 am by Doug Cornelius
A Billion Dollars by Bruce Carton in Compliance Week’s Enforcement Action Yes, Sean Parker’s character (played by Justin Timberlake) uttered that memorable line in The Social Network, but you know who else might be saying that soon? [read post]
21 Feb 2014, 8:30 am by Doug Cornelius
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]
21 Nov 2014, 5:00 am by Doug Cornelius
SEC: Sending Saudi Officials on ‘World Tour’ Was FCPA Violation by Bruce Carton in Compliance Week In case there was any ambiguity that companies may not send foreign government officials on a “world tour” in order to secure business, the SEC made that clear yesterday. [read post]
18 Mar 2009, 5:32 am
See: Revenue Procedure 2009-20 (.pdf) Revenue Ruling 2009-9 (.pdf) IRS issues guidelines to assist Madoff victims by AccountingWeb IRS Issues Guidance for Investors in Ponzi Schemes by Jim Hamilton's World of Securities Regulation Commissioner Shulman’s Senate Finance Testimony on Ponzi Schemes and Offshore Tax Evasion Legislation IRS: Madoff Victims Can Deduct Up to 95% of Investment Loss by Bruce Carton of Securities Docket Can You Prevent Ponzi Schemes? [read post]
25 Oct 2010, 5:25 am by Doug Cornelius
Gorman in SEC Actions SEC Defendant’s ‘Dream’ Alibi Leads to Obstruction Charge by Bruce Carton in Compliance Week’s Enforcement Action DOJ Press Release – Uncle, Nephew Indicted for Insider Trading SEC Litigation Release No. 21133 – SEC Charges Five Individuals With Insider Trading In Connection With Safeco Corp.’s Merger Announcement When Is Insider Trading Subject To Criminal Prosecution? [read post]