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Enforcement 2015: Perspectives from Government Agencies
Chair(s):
Joan E. McKown, Linda Chatman Thomsen, Richard D. Owens
Practice Area:
Corporate & Securities, Litigation
Published:
Apr 2015
ISBN:
9781402424403
PLI Item #:
58820
CHB Spine #:
B2166
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Trends in SEC Enforcement & Internal Investigations (February 13, 2015)
Chapter 2. Expanded Anti-Manipulation Authority to Prohibit Fraudulent and Manipulative Behavior; CFTC Disruptive Trading Practices Interpretive Guidance (April 24, 2015)
Chapter 3. United States, v. Bank of America Corp., et al., Settlement (August 20, 2014)
Chapter 4. BNP Paribas Plea Agreement, Information, Statement of Facts/Money Judgement & Forfeiture (June 27, 2014)
Chapter 5. In the Matter of E*Trade Securities, LLC and G1 Execution Services, LLC, Administrative Proceeding, Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order (October 9, 2014)
Chapter 6. U.S. Department of Justice Letter Re: United States v. S.A.C. Capital Advisors, L.P., et al., 13 Cr. 541 (LTS) (November 2013)
Chapter 7. SEC v. CR Intrinsic Investors, LLC, U.S. Disctrict Court, (S.D.N.Y.), Opinion and Order (June 18, 2014)
Chapter 8. Deputy Assistant Attorney General Sung-Hee Suh Speaks at the PLI’s 14th Annual Institute on Securities Regulation in Europe: Implications for U.S. Law on EU Practice, Justice News (January 20, 2015)
Chapter 9. Remarks by Principal Deputy Assistant Attorney General for the Criminal Division Marshall L. Miller at the Global Investigation Review Program, New York, Justice News (September 17, 2014)
Chapter 10. Attorney General Holder Remarks on Financial Fraud Prosecutions at NYU School of Law, New York City, NY, United States, Justice News (September 17, 2014)
Chapter 11. SEC Keynote Address at Compliance Week 2014, Commissioner Kara M. Stein, Washington, D.C. (May 19, 2014)
Chapter 12. SEC Speech: All-Encompassing Enforcement: The Robust Use of Civil and Criminal Actions to Police the Markets, Chair Mary Jo White (March 31, 2014)
Chapter 13. PLI Panel Outline of Discussion Topics
Chapter 14. United States v. Newman, 773 F.3d 438 (2014) (Decided: December 10, 2014)
Chapter 15. Wilmer Hale Client Memo: Recent Insider Trading Decision (December 23, 2014)
Chapter 16. United States v. Newman, Petition of the United States of America for Rehearing and Rehearing En Banc, U.S. Court of Appeals, Second Circuit (January 23, 2015)
Chapter 17. United States v. Newman, Brief for the Securities and Exchange Commission as Amicus Curiae Supporting the Petition of the United States for Rehearing or Rehearing En Banc, U.S. Court of Appeals, Second Circuit (RJS) (January 2015)
Chapter 18. United States v. Conradt, et al., 12 Cr. 887 (ALC), U.S. District Court, (S.D.N.Y.), (January 22, 2015)
Chapter 19. In the Matter of Bolan, Jr. and Ruggieri, Order, Securities and Exchange Commission (February 12, 2015)
Chapter 20. Remarks to the American Bar Association’s Business Law Section Fall Meeting, Andrew Ceresney, Director, SEC Division of Enforcement, Washington D.C. (November 21, 2014)
Chapter 21. SEC’s Piwowar Questions Use of In-House Courts (February 20, 2015)
Chapter 22. Chau v. U.S. Securities and Exchange Commission, 2014 WL 6984236 (S.D.N.Y.) (December 11, 2014)
Chapter 23. Bebo v. SEC, Complaint, U.S. District Court, E.D. Wis. (January 2, 2015)
Chapter 24. Duka v. U.S. Securities and Exchange Commission, Complaint for Declaratory and Injunctive Relief
Chapter 25. Jarkesy, Jr. and Patriot28, LLC v. U.S. Securities and Exchange Commission, Civil Docket (August 11, 2014)
Chapter 26. Jarkesy, Jr. and Patriot28, LLC v. U.S. Securities and Exchange Commission, On Appeal from the United States District Court for the District of Columbia, Brief of the Defendant-Appellee, U.S. Securities and Exchange Commission (January 28, 2015)
Chapter 27. Whitman v. United States, 135 S.Ct. 352 (November 10, 2014)
Chapter 28. 17 C.F.R. §240.10b5–1, Trading “on the basis of” material nonpublic information in insider trading cases (Current Through February 19, 2015)
Chapter 29. Egan v. Tradingscreen, Inc., 2011 WL 1672066 (S.D.N.Y.) (May 4, 2011)
Chapter 30. Nollner and Nollner v. Southern Baptist Convention, Inc., 852 F.Supp.2d 986 (April 3, 2012)
Chapter 31. Kramer v. Trans-Lux Corp., 2012 WL 4444820 (D.Conn.) (September 25, 2012)
Chapter 32. Berman v. Neo@Ogilvy LLC, 2014 WL 6860583 (S.D.N.Y.) (December 5, 2014)
Chapter 33. Berman v. Neo@Ogilvy LLC and WPP Group USA, Inc., On Appeal from the United States District Court for the Southern District of New York, Brief of the Securities and Exchange Commission, Amicus Curiae in Support of the Appellant (February 6, 2015)
Chapter 34. Selected Ethics Topics (February 16, 2015)
Chapter 35. King & Spalding Memo: 2014 Update on the SEC’s Lawyer Discipline Program (September 4, 2014)
Chapter 36. Securities Enforcement—Zealous Advocacy and Offending the SEC: The SEC’s Lawyer Discipline Program, INSIGHTS, The Corporate & Securities Law Advisor, Volume 26, Number 10, October 2012
Index
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