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SEC

WilmerHale Partner Stephanie Avakian Named as SEC Deputy Enforcement Director

WilmerHale Partner Stephanie Avakian Named as SEC Deputy Enforcement Director The U.S. Securities and Exchange Commission (SEC) has announced the addition of Stephanie Avakian, partner in the New York office of Wilmer Cutler Pickering Hale and Dorr LLP to its senior ranks.  She will be the SEC’s Deputy Director of…>read more

No Comment May 31, 2014

Derek Cohen and Robert Herman Charged With Insider Trading

Derek Cohen and Robert Herman Charged With Insider Trading Two former Qualcomm Inc. sales directors Derek Cohen and Robert Herman, both 52, were charged with four counts of securities fraud, according to a statement by the U.S. Attorney’s Office in San Diego. According to the indictment, Derek Montague Cohen…>read more

No Comment May 13, 2014

SEC Charges Five for Scheming to Make Chinese Companies Public in U.S.

SEC Charges Five for Scheming to Make Chinese Companies Public in U.S. A Toronto-based consultant and four associates were charged this week by the U.S. Securities and Exchange Commission with engaging in illegal reverse merger schemes to enable China-based companies enter the U.S. markets. Allegedly, the conspirators wanted to reap millions in…>read more

No Comment May 7, 2014

Brian Callahan’s $96 Million Ponzi Scheme

Brian Callahan’s $96 Million Ponzi Scheme Brian Callahan, 44, of Old Westbury, New York, raised more than $118 million from at least 40 investors, who were told that their money would be put into mutual funds, hedge funds and securities, according to the statement. It has…>read more

No Comment April 30, 2014

HP Making $108 Million Settlement to Avoid Bribery, Embezzlement, Tax Evasion Charges by SEC

HP Making $108 Million Settlement to Avoid Bribery, Embezzlement, Tax Evasion Charges by SEC   To resolve civil and criminal charges over violations of the Foreign Corrupt Practices Act, Hewlett Packard will be paying $108 million to the Securities Exchange Commission (SEC), according to an announcement made by the U.S. Department of Justice (DOJ).…>read more

No Comment April 14, 2014

U.S. Securities and Exchange Commission Examines Threat to Wall Street from Cyber Attacks

U.S. Securities and Exchange Commission Examines Threat to Wall Street from Cyber Attacks The U.S. Securities and Exchange Commission will examine, according to Bloomberg News, the exposure of stock exchanges, brokerages and also other Wall Street firms to cyber-attacks that have been called a threat to financial stability. A cyber-attack is any type…>read more

No Comment March 28, 2014

Former Executives of Dewey & LeBoeuf Charged for $150 Million Fraudulent Bond Offering

Former Executives of Dewey & LeBoeuf Charged for $150 Million Fraudulent Bond Offering The U.S. Securities and Exchange Commission, on Thursday, charged five former executives and finance officials of failed law firm Dewey & LeBoeuf for accounting fraud and for making and facilitating a fraudulent bond offering worth $150 million. The SEC’s complaint…>read more

No Comment March 7, 2014

Inside Trades Cause Two Hong Kong Firms to Pay $11 Million

Inside Trades Cause Two Hong Kong Firms to Pay $11 Million According to The Securities and Exchange Commission, the two Hong Kong-based firms which managed accounts that were frozen in a major insider trading case in 2012, have now agreed to pay almost $11 million to settle allegations against them. The…>read more

No Comment February 12, 2014

Michael Steinberg Convicted of Conspiracy and Securities Fraud

Michael Steinberg Convicted of Conspiracy and Securities Fraud Michael Steinberg was convicted of conspiracy and securities fraud in federal court. The Stamford, Connecticut-based hedge fund’s SAC Capital Advisors LP’s manager, Michael Steinberg, 41 was convicted of insider trading in a Manhattan court by a jury of nine women…>read more

No Comment December 19, 2013

The Remark that Won’t Be Heard by the Jury

The Remark that Won’t Be Heard by the Jury   A judge has ruled in the criminal trial of five former Bernard Madoff employees who are accused of assisting the con man’s $17 billion fraud, won’t hear testimony that he joked about the firm’s “dumb” accountant. David Friehling is…>read more

No Comment December 18, 2013

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Job of the Day
Capital Markets Counsel 3 Attorney
USA-NC-Charlotte

Wells Fargo & Company, a diversified financial services company, is seeking an experienced capital markets Attorney to join its Law Department in its Charlotte, NC office. The individual selected...