Legal Talk Network » sec

The SEC vs. Goldman Sachs

admin — Thu, 22 Apr 2010 15:36:23 +0000

The Securities and Exchange Commission recently filed civil fraud charges against investment bank, Goldman Sachs Group Inc. Attorneys and co-hosts, J. Craig Williams and Bob Ambrogi welcome Attorney Jacob S. Frenkel, from Shulman Rogers Gandal Pordy & Ecker, P.A and Attorney Palmer C. Hamilton, a member of the Government Relations Practice Group at Jones Walker, to discuss the details of this lawsuit. They take a look at the SEC’s current role, the impact of the lawsuit, financial regulation legislation and what this means for Wall Street.

Special thanks to our sponsors, SunTrust, and Clio

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Securities Docket Radio and the SEC’s New Market Abuse Unit

admin — Fri, 12 Mar 2010 21:06:39 +0000

This is the debut of Securities Docket Radio on the Legal Talk Network with host Bruce Carton, columnist at Compliance Week. Bruce welcomes Sanjay Wadhwa, Deputy Chief of the new Market Abuse Unit in the Division of Enforcement at the U.S. Securities and Exchange Commission, to discuss the new unit and investigations involving insider trading, specialist misconduct, offering fraud, and improper activities at hedge funds. Bruce and Sanjay also discuss the significant reorganization of the Division of Enforcement, and look inside the recent insider trading action brought against hedge fund giant Galleon, and the successful Reebok insider trading investigation.

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The SEC Tackles Wall Street Meltdown

admin — Wed, 17 Jun 2009 19:17:39 +0000

The Securities and Exchange Commission is aggressively probing the financial world in the wake of the meltdown on Wall Street last fall. For the first time, the SEC filed an insider trading lawsuit involving the purchase of a credit default swap based on confidential, nonpublic material information. In-House Legal host, Paul D. Boynton welcomes Attorney David B. Bernsohn of Duane Morris LLP to help explain the underpinnings of the SEC’s case and the legal issues it raises.

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Backdating Stock Options

admin — Thu, 21 Sep 2006 16:09:10 +0000

The Justice Department and SEC are serious, investigating companies for falsifying documents and as a result, lying to shareholders about what stock option awards cost the company. Criminal and civil charges are being filed! Even corporate officers are under scrutiny! What IS backdating stock options? Has your company or client done it? Join Coast to Coast hosts and Law.com bloggers, J. Craig Williams and Bob Ambrogi as they get answers from the ‘go-to’ expert on the topic. Special guest, Attorney Steven R. Barth, partner with Foley and Lardner LLP in Milwaukee, who provides legal analysis on issues such as this to public and private companies, is the Chairperson of the National Directors Institute focusing on corporate governance issues. He takes us through what backdating stock options means, how to discover it, how to prevent it and what to do if the government comes knocking. Listen and hear what YOU need to know!

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