ATLANTA - Pat Huddleston, the driving force behind Investor's Watchdog LLC and the author of The Vigilant Investor , joined the Atlanta-based law firm of Page Perry LLC as a partner on Nov. 28, 2011. Formerly an SEC enforcement branch chief out of... Read More

NEW YORK - Jordan A. Thomas, a 16-year veteran of the federal government, has announced that he has left the U.S. Securities and Exchange Commission (SEC) to join Labaton Sucharow LLP and launch its Whistleblower Representation Practice. Labaton Sucharow... Read More

WASHINGTON, D.C. - Gibson, Dunn & Crutcher LLP has formed a multidisciplinary Whistleblower Team to offer experienced, comprehensive counsel on the full range of issues that arise under the Securities and Exchange Commission's (SEC) final whistleblower... Read More

(This is an excerpt of an Osterman Research Inc. White Paper sponsored by Reed Tech Web Archiving Services and LexisNexis. Please click here to download the entire White Paper .) Executive Summary OVERVIEW The web has become the primary communication... Read More

Over the last 10 years, the far-reaching examination of the trading practices of the mutual fund industry, numerous enforcement actions by the SEC against prominent broker-dealers and fund complexes, and scores of civil lawsuits resulted in very significant... Read More

After resolving insider trading charges against Diamondback Capital in the Dell insider trading cases, the Commission filed two more settled insider trading actions. SEC v. Shafer, Civ. Action No. 1:12-CV-00062 (S.D. Ohio Filed Jan. 24, 2012); SEC v.... Read More

Mary Jo White became the thirty-first chairman of the SEC this week. Ms. White take the helm of an agency at a cross-roads. While it has made great strides since the beginning of the financial crisis and a series of scandals many have questioned the vigor... Read More

The Commission entered into another deferred prosecution agreement this week while filing four settled market crisis actions. The agency also brought an unusual insider trading case centered on selling shares in a secondary offering and an accounting... Read More

Mary Jo White, selected by the President as the next Chairman of the SEC, testified in her confirmation hearings before a Senate Committee {last] week. Ms. White promised the Committee that under her the agency would complete rule making for Dodd-Frank... Read More

The price of gold continues to spiral upward this week while the European banking crisis continued. As the crisis has unfolded European regulators took steps to preclude the short sale of shares in financial institutions. At the same time FINRA issued... Read More

Budgets were a key topic this week. The President proposed one which would increase the SEC's funding. The agency also proposed a budget for FY 2013 which would increase the size of the Enforcement Division by adding 191 positions. In Court the... Read More

The Commission took the unprecedented of dismissing the insider trading action against former Goldman Sach director Rajat Gupta, noting that he challenged the administrative proceeding in district court. The SEC reserved the right to file a federal court... Read More

By Perrie Michael Weiner and Patrick Hunnius A recent Wall Street Journal article – “Activist Investors Often Leak Their Plans to a Favored Few” – focused attention on “activist” investors and stock analysts who... Read More

The FCPA continued to be a focus this week. Another Alstrom executive was added to a pending criminal prosecution in a superseding indictment charging FCPA violations and money laundering. In court the Commission prevailed in the D.C. Circuit as well... Read More

WASHINGTON, D.C. - (Mealey's) The Securities and Exchange Commission and the City of Harrisburg, Pa., have agreed to a cease-and-desist order preventing the city from continuing its violation of federal securities laws in connection with statements... Read More