X

SEC

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…

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.…

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…

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…

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,…

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…

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…

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…

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…

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…

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…

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…