Enforcement Action

Recent Posts from Enforcement Action

• Web Watch: This Week’s Best Posts and Columns

  Each week over at Securities Docket, I offer my picks for the week's best columns and blog posts from around the web (on the subjects, predictably, of SEC enforcement and securities litigation). Here are my…

• Be Careful Telling Therapist About Insider Trading

  Don't you hate it when your boss at the hedge fund you work for pressures you for inside information about the public company you used to work for? And you provide your boss with the…

• Australia: Meltdown Follows ASIC Loss in Rich Case

  In Australia, the financial press is in an all-out frenzy following the bitter loss by its country's regulator, the Australian Securities and Investments Commission (ASIC), in an 8-year-old case against Jodee Rich. The loss has…

• SEC’s “SEC_Actions” Twitter Feed Out-of-Focus

  On August 25, 2009, I wrote here about the SEC's new "SEC_Actions" Twitter feed. I noted that unlike the already existing @SEC_News feed, which was somewhat half-heartedly and sporadically announcing SEC enforcement actions along with…

• Possibly Coming Soon: “We’re #3 in 2007″ Tee Shirts

  I'm still thinking about last week's SEC job ad that, for unknown reasons, continues to highlight the fact that the SEC was "RANKED THIRD BEST FEDERAL WORKPLACE FOR 2007!" Do you think this mere (all…

• “SEC: THIRD BEST FEDERAL WORKPLACE FOR 2007!”

  Check out this new ad for a "Supervisory General Attorney" in the SEC's Enforcement Division, which leads with the following boast: "SEC RANKED THIRD BEST FEDERAL WORKPLACE FOR 2007!" (capital letters, bold face and exclamation…

• Video: Analyzing the SEC’s First “Reg G” Case

  Yesterday, the SEC filed a case against SafeNet, Inc., its former CEO and CFO, and three former SafeNet accountants alleging two fraudulent schemes — one involving the backdating of options and the other earnings management.…

• Webcast–FCPA: Overcoming the Toughest Issues

  Today I moderated an excellent webcast entitled, "FCPA: Overcoming the Toughest Issues" that featured leading attorneys from the Department of Justice and the private sector, as well as forensic accountants. An archived version of this…

• Estonia Brings First-Ever Insider Trading Case

  I haven't updated the International Insider Trading Case Map in way too long but when I do, I'll be adding Estonia to the list. Last week, Estonian prosecutors charged a former analyst at SEB Enskilda…

• Every Madoff Scrap Being Auctioned Off Nov. 14

  So did you know that sometimes when you are convicted of a massive securities fraud, and you owe tens of billions of dollars to thousands of victims, that the U.S. Marshals Service will come to…