Tag: Securities Fraud

SEC Game-Time Program

Can’t tell the players without a program.   This is a handy graphic guide (via @WSJ) to the persons, entities, events and outcomes in SEC enforcement...

SEC Goes To Bat For Misled Compliance Officer

From The Wall Street Journal Risk & Compliance blog (and Samuel Rubenfeld @srubenfeld):  Good news for corporate compliance officers whose officers or employees lie to...

A Prosecutorial Campaign In The Media

Mr. Bharara’s comments are measured, but a prosecutorial campaign in the media is always disquieting (as a defendant’s media campaign can be troubling): Prosecutor Hits...