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SEC

Insider Trading Scheme Used Post-Its, Napkins to Pass Information

Insider Trading Scheme Used Post-Its, Napkins to Pass Information Summary: Frank Tamayo has admitted to using Post-It notes and napkins to pass stock tips as part of an insider trading scheme. A former mortgage broker pleaded guilty on Friday in federal court in Trenton, New Jersey to securities fraud…>read more

No Comment September 22, 2014

Judge Rakoff Approves Citigroup Deal with SEC But with Terse Comments

Judge Rakoff Approves Citigroup Deal with SEC But with Terse Comments This week, Judge Rakoff of the U.S. District Court in Manhattan finally approved SEC’s $285 million deal with the Citigroup that let the company off the hook without denying or admitting any guilt. Rakoff had earlier blocked the deal as “pocket change”…>read more

No Comment August 6, 2014

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

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Job of the Day
Corporate Counsel, Mergers & Acquisitions
USA-NY-New York City

Our client, a worldwide tech company, is looking to add a corporate m&a associate counsel with 5-8 years of experience to their in-house legal team. This candidate should have experience wit...