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SEC

New SEC Rules Will Impact Clawback Policies

New SEC Rules Will Impact Clawback Policies Summary: Companies must expand their clawback policies once new rules are enacted by the Securities and Exchange Commission. Although it was signed into law nearly five years ago, the Dodd-Frank Wall Street Reform and Consumer Protection Act still contains gaps…>read more

No Comment July 8, 2015

Defense Seeks Exclusion of Testimony in Dewey & LeBoeuf Case

Defense Seeks Exclusion of Testimony in Dewey & LeBoeuf Case Summary: Prosecutors and defense attorneys in the Dewey & LeBoeuf trial argue whether certain witness testimony should be admissible. According to the New York Law Journal, prosecutors in the trial of Dewey & LeBoeuf executives, which is scheduled for the spring,…>read more

No Comment February 19, 2015

Axiom Legal May Change the Banking Industry

Axiom Legal May Change the Banking Industry Summary: Axiom Legal, which provides a multi-shore, technology-enabled management service for its clients, may change the face of the financial industry. According to Forbes, when the global financial crisis exploded, investors, regulators, and bank executives were unsure as to what their…>read more

No Comment February 12, 2015

Portland Law Firm Represents Party in Recent Bitcoin Settlement

Portland Law Firm Represents Party in Recent Bitcoin Settlement Summary: A Portland law firm represented Ethan Burnside, who recently settled with the Securities and Exchange Commission for his involvement with a trading website. The Securities and Exchange Commission has been carefully monitoring bitcoin activity, and on Monday, it announced…>read more

No Comment December 10, 2014

Sidley Austin Welcomes Geoffrey Aronow to the Firm

Sidley Austin Welcomes Geoffrey Aronow to the Firm Summary: Sidley Austin announced on Tuesday via a press release that it has added Geoffrey Aronow. Aronow will operate out of both the New York and Washington, D.C. offices. It was announced on Tuesday that the law firm of Sidley Austin…>read more

No Comment October 21, 2014

SEC’s Peter Chan Joins Morgan Lewis

SEC’s Peter Chan Joins Morgan Lewis Summary: Attorney Peter Chan, who was the Assistant Regional Director of the SEC Chicago Regional Office from 2000 to 2014, is joining Morgan Lewis as a partner in its Litigation Practice in Chicago. In his nearly 20 years with the…>read more

No Comment October 6, 2014

Former Mortgage Broker Admits Using Post-Its to Facilitate Insider Trading

Former Mortgage Broker Admits Using Post-Its to Facilitate Insider Trading 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

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