Search for: "David Smyth"
Results 121 - 140
of 185
Sort by Relevance
|
Sort by Date
30 Aug 2013, 6:24 am
Ohio – OH Treasurer Crashes Twice, Makes No Staff Report Miami Herald – Julie Carr Smyth (Associated Press) | Published: 8/27/2013 Ohio Treasurer Josh Mandel might have violated state and federal campaign laws by traveling across the state this year in a vehicle bought by his failed 2012 U.S. [read post]
29 Aug 2013, 4:26 am
SEC Takes Oddly Aggressive Stance on Payment of Monetary Sanctions Check out David Smyth's blog for news on this front: When Mary Jo White was installed as the SEC's chair in April, I had little doubt she would be well-suited for her new role. [read post]
22 Aug 2013, 3:45 am
David Smyth of Brooks Piece notes in the Cady Bar the Door blog: Earlier this summer, SEC chair Mary Jo White told a Wall Street Journal conference that the Commission would in some circumstances depart from its longstanding policy of allowing defendants to settle cases without admitting or denying wrongdoing. [read post]
2 Aug 2013, 5:00 am
Criminal Forfeiture and SAC Capital by David Smyth and Wes Camden in Cady Bar the Door But in the event of a conviction, the criminal case does have at least one prominent feature that the SEC’s case does not: the prospect of a massive criminal forfeiture of assets gained by any criminal conduct. [read post]
2 Aug 2013, 4:20 am
And see this blog from David Smyth about the deeper meaning of the SAC's Steve Cohen case (as well as this WSJ article by Russ Ryan about the SEC's low burden of proof). [read post]
12 Jul 2013, 6:15 am
by David Smyth in Cady Bar the Door I am actually sort of fascinated to see what the upshot will be. [read post]
21 Jun 2013, 5:08 am
In a recently presented paper, Professors David T. [read post]
18 Jun 2013, 4:01 am
David Smyth of Brooks Pierce even blogged this analysis about them: When I was on the SEC's enforcement staff, I had a case once where we were pretty sure our prospective defendant had engaged in insider trading. [read post]
10 Jun 2013, 5:00 am
Sources: SEC Freezes Assets of Thailand-Based Trader for Insider Trading Ahead of Smithfield Foods Acquisition Announcement SEC Complaint (.pdf) SEC Sues Rungruangnavarat for Insider Trading in Smithfield Foods Acquisition by David Smyth in Cady Bar the Door Red flags by Rutger van Waveren CC BY ND [read post]
10 Jun 2013, 5:00 am
Sources: SEC Freezes Assets of Thailand-Based Trader for Insider Trading Ahead of Smithfield Foods Acquisition Announcement SEC Complaint (.pdf) SEC Sues Rungruangnavarat for Insider Trading in Smithfield Foods Acquisition by David Smyth in Cady Bar the Door Red flags by Rutger van Waveren CC BY ND [read post]
10 Jun 2013, 4:06 am
In this blog, David Smyth notes how quickly the SEC's Enforcement staff brought this action - which involves the largest-ever acquisition of a U.S. company by a Chinese company... [read post]
3 May 2013, 9:00 am
SEC Dings Investment Adviser for Custody Violations, Failure to Supervise by David Smyth and Elizabeth E. [read post]
3 May 2013, 9:00 am
SEC Dings Investment Adviser for Custody Violations, Failure to Supervise by David Smyth and Elizabeth E. [read post]
29 Apr 2013, 4:21 am
As noted in this press release, the SEC decided not to prosecute Ralph Lauren for FCPA violations due to the company's cooperation - here's a blog from David Smyth about the case. [read post]
29 Jan 2013, 4:27 am
: The Movie Gotta love this brief movie from David Smyth of the "Cady Bar the Door" blog. [read post]
19 Dec 2012, 4:34 am
PCAOB Brings Case on Audit Documentation David Smyth notes this interesting enforcement case from the PCAOB that focused on process, not substance... [read post]
4 Sep 2012, 11:00 am
As you might expect, the blog provides insight and commentary on SEC enforcement actions and related issues – it’s published by David Smyth of Brooks Pierce, a North Carolina firm. [read post]
14 Aug 2012, 5:30 pm
Court Holds that VPPA Applies to Online Streaming Video – Washington, DC lawyer Steve Satterfield of Covington on the firm’s blog, Inside Privacy PPACA Penalties: What Individuals Without Coverage Will Pay – New York attorney Keith McMurdy of Fox Rothschild on their Employee Benefits Legal Blog Second Circuit Eases Aiding and Abetting Standard for SEC – Raleigh attorney David Smyth of Brooks Pierce on their blog, Cady Bar the Door Why… [read post]
7 Aug 2012, 4:49 am
David Smyth agrees with my conclusion, noting that "financial industry defendants would respect (and be inclined to hire) staff who were smart and tough in their work, instead of unethical patsies who were willing to look the other way in exchange for a favor. [read post]
6 Aug 2012, 5:30 pm
Estelle Tsevdos of Gibbons on their blog, IP Law Alert Breaking: Study Confirms What I Think – Raleigh attorney David Smyth of Brooks Pierce on their blog, Cady Bar the Door Businesses: Make Way for Segways? [read post]
