Securities and Exchange Commission

  • business crime

  • Gavel and Banana Peel on Gradated Background with Selective Focus - Lawsuit Concept.

    Attorney Misconduct, Bar Exams, Law Professors, Legal Ethics, Securities and Exchange Commission

    Law School Professor Busted Lying To Federal Judge, Goes Back to Teaching Ethics

    The scandal may not bring down this professor, but failing as a professor just might.

    15 Comments / / Nov 13, 2013 at 5:51 PM
  • The Duke Brothers

    Barack Obama, Election Law, Insider Trading, Mergers and Acquisitions, Morning Docket, Pepper Hamilton, Securities and Exchange Commission, Technology

    Morning Docket 11.12.13

    * Who are the real victims of insider trading? It’s the Duke brothers, duh. [DealBook / New York Times]

    * Judge Ellen Huvelle has ordered the government to turn over to her an executive order that the feds claim is subject to executive privilege. Judge Huvelle rejected the administration’s argument that privilege exists because, “we don’t want to give it to you.” [Politico]

    * Pepper Hamilton has joined the greener pastures of Silicon Valley, opening an office with three partners poached from Goodwin Proctor. [Reuters Legal (sub. req.)]

    * Speaking of poaching, Martin Dunn, former deputy director of the SEC and O’Melveny partner is joining Morrison & Foerster. [The Blog of the Legal Times]

    * And while we’re at it, M&A partner Sean Rodgers has left Simpson Thacher to merge with Kirkland & Ellis. [The AmLaw Daily]

    * Publisher ALM (The American Lawyer, Corporate Counsel, The National Law Journal, The New York Law Journal) has a new technology partner and hopes to boost its readership. If they want to boost their readership, wouldn’t starting a new law school be a better investment? [Talking Biz News]

    * Conservative groups are miffed about video of this Democratic party lawyer “attacking” a Republican at the polls and trying to “steal” an election. It seems like he put his hand over the lens of a camera phone, but sure, this is exactly like telling minorities the wrong day to vote. [Bearing Drift]

    * The Amanda Knox case has a trade secret component as a battle rages over DNA testing technology. [Trade Secrets Watch / Orrick]

    1 Comment / / Nov 12, 2013 at 9:05 AM
  • handful of money RF

    Securities and Exchange Commission, Securities Law

    SEC’s New Rules On Equity Crowdfunding Give People New Ways To Ask Friends For Money

    What’s wrong with this proposed system? Let’s discuss…

    13 Comments / / Oct 24, 2013 at 10:21 AM
  • mccigartrophy

    Basketball, Crime, Environment / Environmental Law, Non-Sequiturs, Securities and Exchange Commission, Women's Issues

    Non-Sequiturs: 10.22.13

    * A look at how one expert witness helped Mark Cuban win in the insider trading case. The government should have hired the Spurs — they figure out how to beat Mark Cuban constantly. [The Expert Institute]

    * This guy forgot to book a wedding venue and rather than admit it, called in a bomb threat. How mean would his bride-to-be have to be for him to commit a crime rather than disappoint? So anyway, he’s going to jail now. [Associated Press]

    * Man arrested for punching a police horse. I mean, Mr. Ed shouldn’t have mouthed off like that. [Slate]

    * The chief of FERC will be joining a top law firm in Portland. Someone send Jon Wellinghoff a complete box set of Portlandia so he knows what he’s getting into. [Breaking Energy]

    * After yesterday’s scathing attack on law reviews brought out some defenders, this post brings the snark to the whole affair. [Law Prof Blawg]

    * Ms. JD is handing out awards at its annual conference. Send in your nominations by December 15. [Ms. JD]

    * The ironic webpage for the Delaware State Bar’s “Access to Justice” program. Image after the jump…

    3 Comments / / Oct 22, 2013 at 5:16 PM
  • constitution we the people

    Abortion, Barack Obama, Biglaw, Celebrities, Constitutional Law, Federal Government, Law Firm Mergers, Money, Morning Docket, Partner Issues, Real Estate, SCOTUS, Securities and Exchange Commission, Supreme Court

    Morning Docket: 10.10.13

    * “There are no magic bullets here.” Caught in a “trilemma,” President Obama is up against the wall and is running out of options. He soon might be forced to choose the least unconstitutional solution to the nation’s problems. [Bloomberg]

    * During the government shutdown, it certainly wouldn’t be worth it for furloughed employees to hire lawyers to fight their “essential” versus “non-essential” determinations — please, like they’ll be able to afford legal representation right now. [National Law Journal]

    * It seems some partners at both Dentons and McKenna Long & Aldridge aren’t fans of a possible tie-up, so they’re heading for the hills as fast as they can. Perhaps it simply wasn’t meant to be? [Am Law Daily]

    * It’s time for our favorite show, As the Weil Turns! Partners from various offices are departing for other Biglaw firms, and we can now confirm that Steven Peck is a new face at Proskauer. [Law360 (sub. req.)]

    * We told you last week that Matthew Martens of Fabulous Fab fame would be leaving the SEC, but now we know where he’s landing. Congrats on your new home at WilmerHale. [WSJ Law Blog (sub. req.)]

    * Ohio is the latest state to offer “hazy” abortion restrictions that skirt the very edge of Supreme Court jurisprudence in order to make women feel guilty about their own right to choose. [New York Times]

    * “Without makeup she looks like the Joker in Batman.” Joan Rivers is locked in a $15 million condo catfight with a Canadian socialite who isn’t afraid to pull punches. Meow! [New York Daily News]

    5 Comments / / Oct 10, 2013 at 9:08 AM
  • 220px-Spring_gun

    Biglaw, Continuing Legal Education / CLE, Football, Law Schools, Non-Sequiturs, Partner Issues, Securities and Exchange Commission, Solo Practitioners, Suicide

    Non-Sequiturs: 09.30.13

    * The lawyer who shot himself in the back and lied about it has pleaded guilty since his defense was full of self-inflicted holes. [WBIW]

    * Do you want to be a partner? These 12 simple rules are a good start. (Not featured: Rule 13. Have incriminating pictures of the other partners.) [At Counsel Table]

    * The University of Vermont and Vermont Law School are considering a joint “3-2″ degree program. So if you’re 18 years old and positive you want to grow up to be a lawyer, you may soon have a lower cost option. You’re also probably a tool. [AP via Boston.com]

    * Can introverts be solo practitioners? It’s an interesting question, but since Growth is Dead (affiliate link) notes that even rainmakers are tragically lacking in sociability, it’s likely that most lawyers across firms are introverted. [Lawpolis]

    * St. Louis University Law School has taken over and refurbished an old building in downtown St. Louis. See, it’s possible to run a law school without spending money on MOAR BUILDINGS! [Urban Review STL]

    * A poem about CLE. Wait, are there people not doing their CLE online? [Poetic Justice]

    * How to pick a good divorce lawyer. Done. [Huffington Post]

    * Matthew Martens, the senior SEC attorney who ran the “Fabulous Fab” trial, is leaving the agency. Possible landing spots for Martens include Kirkland & Ellis; Paul Weiss; WilmerHale; Latham & Watkins; and Cleary Gottlieb. [Wealth Management]

    * A judge in Kentucky moonlights as the PA announcer for high school football games. He’s also blind. Eschewing the obvious “he still sees better than the refs” joke, my question is why isn’t it just more efficient to make his spotter the PA announcer? Video after the jump…

    2 Comments / / Sep 30, 2013 at 5:14 PM
  • Mark Cuban

    Constitutional Law, Insider Trading, Law Schools, Morning Docket, Police, Politics, SCOTUS, Securities and Exchange Commission, Securities Law, Supreme Court, Wall Street

    Morning Docket: 09.30.13

    * If the government shuts down and then defaults on its debt, Wall Street worries that it would “shake the foundations of the global financial system.” Hooray for political asshattery! [DealBook / New York Times]

    * At least six of the Supreme Court’s judicial precedents are up for reconsideration in the upcoming Term, and high court commentators think the resulting decisions could be a mixed bag. [National Law Journal]

    * Apparently low-income New Yorkers’ legal problems are “not worthy of a ‘real lawyer,’” or at least that’s the message that will be given if non-lawyers are allowed to provide legal services. [New York Law Journal]

    * Sorry, lady, not enough prestige. A Brazilian journalist was allegedly on the receiving end of some “extremely violent” police behavior at Yale Law School after attempting to interview Justice Joaquim Barbosa at a private event. [The Guardian]

    * Mark Cuban’s insider trading case is heading to trial today, but we genuinely wonder how he’ll be able to convince a jury that he’s “humble and affable,” rather than the “master of the universe.” [Boston Herald]

    4 Comments / / Sep 30, 2013 at 9:11 AM
  • wine glasses

  • SchillingNew

    Baseball, Constitutional Law, Federal Circuit, Google / Search Engines, Movies, Non-Sequiturs, Patents, Richard Posner, Securities and Exchange Commission, Technology, Television, Women's Issues

    Non-Sequiturs: 09.12.13

    * The hits keep on coming for Curt Schilling. Now the SEC has woken up and decided to probe the $75 million he secured from the state of Rhode Island (already the subject of another suit). Maybe he can fake another bloody sock to generate some sympathy. [Bloomberg]

    * Apple sold a “Season Pass” to Breaking Bad Season 5 and then refused to honor the second half of the season to its subscribers, prompting an Ohio doctor to file suit for $20, with hopes of building a class action. Look, Apple needed that money; Tim Cook is desperate these days. [Deadline: Hollywood]

    * Speaking of Apple, the Federal Circuit looks like it’s going to give Apple another crack at its claim that Google ripped off the iPhone patents, citing “significant” errors on the part of the last judge to rule on the dispute: Richard Posner. You come at the king, you best not miss. [Wall Street Journal]

    * And last, but definitely not least, Apple’s new fingerprint ID will be the death of the Fifth Amendment. Discuss. [Wired]

    * A film chock-full of unsanctioned footage and insulting knocks on Disney has been picked up for distribution. This is your official warning that it’s time to prepare the beauty pageant pitch for the Disney execs. [Grantland]

    * Elie smash, Charlotte Law School. [NPR Charlotte]

    * The International Association of Young Lawyers conference will feature a speed dating session (on page 6). Really hard-hitting program there. [International Association of Young Lawyers]

    * Congratulations to the 49 firms honored for meeting all of WILEF’s criteria for Gold Standard certification at today’s awards gala! [Women in Law Empowerment Forum]

    20 Comments / / Sep 12, 2013 at 5:01 PM
  • iStock_000016737541XSmall

    Banking Law, Craigslist, DUI / DWI, Free Speech, Guns / Firearms, Jed Rakoff, Non-Sequiturs, Politics, Securities and Exchange Commission, Securities Law

    Non-Sequiturs: 09.10.13

    * How low can the legal market go? Manhattan firm lists full-time associate opening for $10/hr. “NY to 10.” (Screenshot here if the ad is removed). [Craigslist]

    * Iowa is giving out gun permits to the blind. Sadly this is not a new phenomenon as David Sedaris explained years ago. [FindLaw]

    * Business Insider has fired its CTO because… he’s a jerk. An important lesson in what free speech does and doesn’t mean. [Popehat]

    * A UNC professor pulled over for a DWI has sparked a Fourth Amendment battle because she was arrested by a fire truck. [Fox News]

    * Banks facing SEC enforcement actions are basically just spinning a roulette wheel and praying it doesn’t land on “Rakoff.” [Ramblings on Appeal]

    * On a related note, Senator Elizabeth Warren spoke at the AFL-CIO conference and discussed the corporate capture of the federal courts (at 1:23:45 after the jump)…

    3 Comments / / Sep 10, 2013 at 5:01 PM
  • Flag_of_Syria.svg

    Gay, Gay Marriage, International Law, Non-Sequiturs, Securities and Exchange Commission, Women's Issues

    Non-Sequiturs: 09.06.13

    * If you’re still hankering to read up on the legality of the impending intervention is Syria, here’s a thorough bibliography. This should keep you busy for a while. [Lawfare]

    * The re-sentencing of the teacher who got 30 days for raping a 14-year-old girl was blocked today by the Montana Supreme Court as outside the authority of the trial judge. We’ll see how this resolves itself. Remember, if you outlaw taking advantage of troubled 14-year-old girls, only outlaws will take advantage of troubled 14-year-old girls. [NBC News]

    * Attorney and New York public official Christine Quinn charged in prescription drug scandal. Oh. Wait. Not that Christine Quinn. [Times Union]

    * An SEC attorney files a serious lawsuit about the investment managers who collapsed the economy. Unfortunately, the suit is against the SEC itself for allegedly retaliating against the attorney when she recklessly suggested the SEC do its “job.” [Courthouse News Service]

    * What’s the most dangerous state to live in? Check out this interactive graphic. Fun fact: you’re most likely to get the Clap, Chlamydia, and then get murdered in Washington, D.C. Ah, Washington. [Top Masters in Health Care]

    * Today in Bizarro Land, “feminists” are now arguing against birth control. They also really enjoy “Blurred Lines” now. [The Guardian]

    * Rhode Island’s proposed marriage equality bill might include a provision allowing for-profit vendors to opt out of serving gay couples based on homophobia personal beliefs. Imagine how well letting businesses opt out of anti-discrimination laws would have worked in taking down segregation. [Huffington Post]

    1 Comment / / Sep 6, 2013 at 5:00 PM
  • 125px-Naked_Juice_Peach_Front

    Guns / Firearms, Intellectual Property, Non-Sequiturs, Patents, Securities and Exchange Commission, Shinyung Oh

    Non-Sequiturs: 08.08.13

    * PepsiCo can no longer label its Naked juices as “natural” because the only place you can find more unnatural substances in something naked is in a Vivid Video production. [New York Daily News]

    * The New Yorker shines a light on the world of civil asset forfeiture. In honor of Shark Week, the article should have spent a lot more time on the United States v. Approximately 64,695 Pounds of Shark Fins case. [The New Yorker]

    * Thomas J. Kim, the Chief Counsel and Associate Director of the Securities and Exchange Commission’s Division of Corporation Finance since 2007, is going to be a partner at Sidley Austin. Don’t let the revolving door hit you on the way out! [Bloomberg Businessweek]

    * Whatever happened to Shinyung Oh, author of the incendiary Paul Hastings departure memo? An update. [Capricious Bubbles]

    * 10 reasons lawyers say the prosecutors botched the George Zimmerman trial. [AlterNet]

    * As we predicted, the four patent litigation partners leaving Finnegan, as well as six other IP lawyers, are joining Winston & Strawn. [Winston & Strawn]

    * How do you react when colleagues endorse you on LinkedIn for skills you don’t practice? Take a look…

    5 Comments / / Aug 8, 2013 at 5:01 PM
  • fabrice tourre RF

  • iStock_000003479866XSmall-RF

    Antonin Scalia, Bar Exams, Crime, Gay, Religion, Securities and Exchange Commission, Securities Law

    Slow News Week of Satire and Ho-Hum Courtroom ‘Drama’

    The Week in Review for one of the slowest news weeks in a while.

    6 Comments / / Aug 2, 2013 at 3:49 PM
  • Professor Nina Pillard

    2nd Circuit, Biglaw, D.C. Circuit, Insider Trading, Judicial Nominations, Media and Journalism, Morning Docket, Securities and Exchange Commission, Securities Law, Senate Judiciary Committee

    Morning Docket: 07.25.13

    * It’s just business as usual: Amid accusations of liberal court-packing, D.C. Circuit nominee Nina Pillard faced questions on abortion and religion during her testimony before the Senate Judiciary Committee. [USA Today]

    * Biglaw isn’t as dead as we’ve been told and made to believe. Some of the largest firms are actually doing quite well, says American Lawyer’s editor-in-chief, who’d like her job to retain some meaning for now. [Am Law Daily]

    * Fried Frank knew that it’d take a banker to pull the firm from its monetary funk, so it picked up David Greenwald, deputy general counsel of Goldman Sachs, to act as co-chair through 2015. [New York Law Journal]

    * With the change in SEC policy, from allowing companies to use neither-admit-nor-deny language, to forcing them to admit guilt in “egregious” cases, lawyers may soon be very busy. [Corporate Counsel]

    * Raj Rajaratnam is a firm believer in the “three strikes and you’re out” theory of law. A month after the Second Circuit affirmed his insider trading conviction, he’s asking for a rehearing en banc. [Bloomberg]

    11 Comments / / Jul 25, 2013 at 9:07 AM
  • Intellectual Property, Law Schools, Morning Docket, Musical Chairs, Securities and Exchange Commission, Securities Law, Sex Scandals, Texas

    Morning Docket: 07.24.13

    * Bernard Knight Jr., general counsel of the U.S. Patent and Trademark Office, will be taking his intellectual property talents to McDermott Will & Emery as a new — and rather cute — partner. Congratulations! [Corporate Counsel]

    * The Securities and Exchange Commission has charged a Texas man in a Monopoly money Bitcoin-related Ponzi scheme. Unfortunately for him, the associated jail time for the crime isn’t virtual. [Wall Street Journal (sub. req.)]

    * When applying to law school, it’s wise to have a unique personal statement topic. But considering the application cycle, you could probably get away with writing “LOL” and still get into the school of your choice. [Law Admissions Lowdown / U.S. News]

    * Russia has granted NSA leaker Edward Snowden a pass to leave the Moscow airport’s transit zone. Be prepared to welcome borscht into your life, and be sure to always say spasibo. [Associated Press]

    * Sorry folks, but Carlos Danger, more popularly known as Anthony Weiner, won’t be pulling out of the New York City mayoral race. I, for one, would love to see his AMAs on Reddit. [New York Times]

    * It looks like Aaron Hernandez shot himself in the foot when lawyering up for a civil suit where he’s accused of shooting someone in the eye. His attorney specializes in banking litigation. [USA Today]

    22 Comments / / Jul 24, 2013 at 9:15 AM
  • Robert Khuzami LF

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