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Cady Bar the Door Insight & Commentary on SEC Enforcement Actions and Related Issues

Monthly Archives: October 2012

Saturday Links

Posted in Accounting Fraud, Broker-Dealers, Compliance

Good morning!  Some stories for you to read today: The Legal Times reports that Harvey Pitt says the SEC has been saddled with an impossible job in writing rules to implement the JOBS Act.  At an ABA conference in D.C., he said, ”We’ll see some sort of scandal rise and of course everyone will blame the… Continue Reading

Stories Worth Reading This Morning

Posted in Broker-Dealers, FCPA, FINRA

Among the stories you should consider reading today: FINRA’s Susan Axelrod announced at a PLI panel on Wednesday that FINRA is reviewing conflicts of interest at 14 broker-dealers.  The review seems to be geared toward being sure that registered representatives keep their focus on suitability of the products sold to their customers. This article suggests… Continue Reading

Three More Thoughts about Securities Enforcement Forum 2012

Posted in Insider Trading, SEC Litigation, Whistleblowers

Several more things from the Securities Enforcement Forum 2012 occurred to me after my last post, and I thought I would note them here. Rajat Gupta First, in a discussion of recent insider trading cases, Judge Sporkin supposed that Rajat Gupta might have avoided criminal prosecution if he had settled the SEC’s initial administrative case… Continue Reading

Back from the Securities Enforcement Forum 2012

Posted in FCPA, SEC Litigation

Yesterday I attended the Securities Enforcement Forum 2012 at the Mayflower Hotel in D.C.  Bruce Carton organized an excellent day of panels devoted to a number of securities enforcement topics.  Here is the full agenda from the day.  Several things jumped out at me as noteworthy. More Use of Section 21(a) Reports The Hon. Stanley… Continue Reading

Whistleblower!

Posted in Whistleblowers

Here at the Cady Bar the Door motion pictures division, we have been hard at work with our robot staff on Whistleblower!, a film depicting the whistleblower provisions of the Dodd-Frank Act of 2010.  You can view this 2013 Oscar candidate here: We hope you like it, and we are available for birthday parties and bar… Continue Reading