Search for: "Bruce Carton"
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10 Feb 2012, 4:30 am
We’re happy to report that Bruce Carton at Law.Com’s Legal Blog Watch picked up on the story. [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]
16 Jan 2015, 5:37 am
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]
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]
29 Feb 2012, 3:27 pm
Although he may have gotten it from me via Twitter, I'll still go ahead and credit Bruce Carton at Legal Blog Watch, who included this in Volume 13 of his important series, "Things You Can't Do on a Plane. [read post]
7 Mar 2007, 4:12 pm
He’s also taken over the ISS blog “Securities Litigation Watch” which was created by blawg pioneer Bruce Carton (who has moved on to become claims administrator and resident blogger at the Garden City Group). “On some level I miss practicing law,” Savett told the Law Blog. “But it’s a new challenge that allows me to stay very involved in something that’s near and dear to my heart, and that’s securities litigation.”… [read post]
24 Apr 2015, 5:25 am
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]
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]
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]
19 Jul 2013, 5:00 am
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]
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]
22 Jan 2010, 5:00 am
by Bruce Carton for Compliance Week’s Enforcement Action Today, though, the SEC filed a settled enforcement action charging Charles J. [read post]
18 May 2012, 5:00 am
” 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]
23 Dec 2010, 6:22 am
Stats Show More Suspensed Licences http://is.gd/jgO1DAlaska high court rejects claims in Senate race http://is.gd/jgNRbPopular Legal Topics in 2010 http://is.gd/jgNrfSlaw Makes Bruce Carton’s 10 “Go-to Blogs” Of the Year http://is.gd/jgNoCSLAPP Panel recommends anti-SLAPP law http://is.gd/jgNjeClawbie 2010 Nominations Roundup http://is.gd/jgNi6Litigation in Canada: 6 interesting facts http://is.gd/jgN1uFertility clinics up to provinces to regulate, top court rules… [read post]
17 Nov 2010, 8:25 am
(See, for example: Lisa McGrath; Bruce Carton.) [read post]
7 Nov 2014, 4:00 am
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]
10 Apr 2015, 5:00 am
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]
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]
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]
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]
