SEC’s Approach to Financial Crisis Cases

May 2015

• Administrative Enforcement Actions and the SEC:
  • “Overhaul of SEC judge system urged” (WSJ, 5/13/15)
  • “SEC issues guidance on venues for cases” (WSJ, 5/9/15)
• Government Regulation of SEC Settlements: [TOP TEN]“Political fights throw sand in gears of SEC” (NYT, 5/29/15)
• SEC Approach to Whistleblowers:
  • “Tipster rewards are slow and scarce” (WSJ, 5/26/15)
  • “SEC backlog delays whistleblowers’ pay” (WSJ, 5/4/15)

April 2015

• SEC Approach to Whistleblowers:
  • [TOP TEN]“SEC fires a warning shot about employee confidentiality agreements” (NYT, 4/2/15)
  • [TOP TEN] “SEC Bolsters whistleblowers” (WSJ, 4/2/15)
• SEC New Ruling on CEO Compensation:
  • “SEC is seeking more clarity on executive pay” (LAT, 4/30/15)
  • “SEC votes on rules for pay and performance disclosures” (WSJ, 4/30/15)
  • “SEC is set to propose new rules on CEO pay” (WSJ, 4/29/15)
• SEC Recovery in Lawsuits versus Private Class Actions Recoveries: [TOP TEN]“Jay Edelson, the class-action lawyer who may be tech’s least friended man” (NYT, 4/5/15)

March 2015

• SEC Regulation of Financial Advisers:
  • “While regulators fiddle, avoid getting burned” (WSJ, 3/21/15)
  • “SEC chief may toughen rules for brokers” (NYT, 3/18/15)
  • “SEC head backs uniform standards” (WSJ, 3/18/15)
• SEC “Worker Policy of Bad Actor Ban” in Large Bank Settlements:
  • [TOP TEN]“Chief rebuts criticism that SEC has pulled punches” (NYT, 3/13/15)
  • [TOP TEN]“Reprieves debate is delaying prove resolutions” (WSJ, 3/13/15)
• Too-Big-To-Bar: SEC Corporate Wrongdoing Waivers: [TOP TEN]“Bill takes aim at SEC waivers for firms that broke law” (NYT, 3/24/15)

February 2015

• Revolving Door:
  • [TOP TEN] “New counsel for Deutsche Bank is used to U.S. inquiries” (NYT, 2/25/15)
  • [TOP TEN]“She runs SEC. He’s a lawyer. Recusals and headaches ensue” (NYT, 2/24/15)
• SEC Approach to Whistleblowers: [TOP TEN]“Treatment of tipsters is focus of SEC” (WSJ, 2/26/15)
• SEC Disclosure Rules: “In an era of disclosure, an excess of sunlight but a paucity of rules” (NYT, 2/12/15)
• SEC New Approach to Financial Crimes:“S.E.C. commissioners split on waiving financial industry punishment” (NYT, 2/5/15)

January 2015

• SEC $14.4 million Fine re Dark Pools and HFT: “UBS fined $14.4m over dark pool disclosures” (FT, 1/16/15)
• SEC and Activist Shareholders: “SEC reversal may clear way for shareholders to challenge companies” (NYT, 1/20/15)
• SEC Approach to Insider Trading: [TOP TEN]“Pivotal ruling on insiders put to test” (WSJ, 1/8/15)
• SEC, FCPA Investigation of Sony Movies, Including China Film Distribution: “Sony documents show studio dealings in China” (WSJ, 1/10/15)
• SEC New Approach to Financial Crimes:“US and UK regulators pledge crackdown on financial crime” (FT, 1/21/15)

December 2014

• SEC Mathematicians and Computer Programmers: “SEC’s brainy new crime fighters” (WSJ, 12/15/14)
• SEC Regulation of Mutual Finds and ETFs:
  • “SEC plans to fix flaw in electronic distribution system” (WSJ, 12/28/14)
  • “Mutual fund industry may face new rules” (NYT, 12/12/14)
  • “Regulator zeroes in on risk at funds” (WSJ, 12/12/14)
• SEC Regulation of S&P Rating Agency: “S&P closes in on settlement” (WSJ, 12/26/14)

November 2014

• SEC and Clawbacks: [TOP TEN]“A blank page in the SEC rule book” (NYT, 11/9/14)
• SEC and Private Equity Fees: “SEC heat on buyout firms lifts veil on fees” (11/20/14)
• SEC Delay on Crowdfunding Rules: “SEC’s delay on rules for crowdfunding may just save it” (NYT, 11/18/14)
• SEC “Fair Fund” Approach: [TOP TEN] “Dissenting from an SEC windfall for lawyers” (WSJ, 11/11/14)

October 2014

• SEC Data Posting and HFT: “Fast traders get SEC data seconds early” (WSJ, 10/29/14)
• SEC and the Revolving Door: [TOP TEN] “In turnabout, former top regulators assail Wall Street watchdogs” (10/23/14)
• SEC New Approach to Trials: [TOP TEN] “SEC steers more trials to judges its appoints” (WSJ, 10/21/14)

September 2014

• SEC Cases Filed (2014): “As SEC enforcement cases rise, big actions are sparse” (WSJ, 9/30/14)
• SEC and Hedge Funds: “SEC criticizes hedge funds” (WSJ, 9/23/14)
• SEC New Approach to Credit Rating Agencies: “The SEC’s new ‘thought crime‘” (WSJ, 9/11/14)
• SEC New Approach to Mortgage Backed Securities’ Disclosures:“SEC preps mutual fund rules” (WSJ, 9/8/14)
• SEC Proposed Rules for Credit Ratings Firms: “Credit rating reform comes up short” (NYT, 9/4/14)
• SEC Pursuit of of $62 Million Judgment:
  • [TOP TEN] “A 1980rs corporate raider keeps the SEC at bay” (WSJ, 9/17/14)
  • “Paul Bilzerian’s life of poker, parties” (WSJ, 9/17/14)
• SEC’s Regulation of Money Market Funds and Systemic Risk: “SEC’s new rules give US money market funds a floating feeling” (FT, 9/30/14)
• SEC Whistleblowers:
  • [TOP TEN] “Tipster will reap record rewards” (WSJ, 9/23/14)
  • “Whistleblower gets $30 million” (LAT, 9/23/14)
  • “It’s wolves vs. lambs, and the winner is…” (Barron’s, 9/1/14)

August 2014

• SEC’s Investigation of AIG:  [TOP TEN] “Under questioning, jokes and jitters” (WSJ, 8/12/14)
• SEC Investigation of “Alternative Funds”: “Alternative funds draw scrutiny from SEC” (WSJ, 8/13/14)
• SEC in the Mary Jo White Era: [TOP TEN]“Once-powerful SEC now seen as sluggish and ineffective” (NYT, 8/14/14)
• SEC Pursuit of of $62 Million Judgment: [TOP TEN]“Wall Street prosecutors bare their teeth but still lack bite” (NYT, 8/28/14)
• SEC Whistleblowers:
  • [TOP TEN]“The man who blew the whistle” (NYT, 8/19/14)
  • “SEC approves rules aimed at hidden risks of asset-backed securities” (WSJ, 8/28/14)
  • “SEC wants detail on loans backing bonds” (WSJ, 8/27/14)

July 2014

• SEC’s Approach to Asset Management and ‘Systemically Important Financial Intimidation” Label (SIFI):  “Focus on asset managers highlights bad behavior by SEC” (NYT, 7/17/14)
• SEC’s New Approach:  “Let’s not shortchange the SEC” (WSJ, 7/8/14)
• SEC’s New Rules for Money Market Funds:  “SEC is set to approve money-fund rules” (WSJ, 7/23/14)
• SEC Whistleblowers: [TOP TEN] “Meet 6,500 of SEC’s confidential tipsters” (WSJ, 7/29/14)

June 2014

• SEC New Enforcement Head (Ceresney):  [TOP TEN] “The enforcer’s perspective” (WSJ, 6/24/14)
• SEC’s New Emphasis on Enforcement: [TOP TEN]“Setbacks show holes in trading crackdown” (WSJ, 6/5/14)
• SEC Regulation of Rating Agencies Post Dodd-Frank:  “SEC gears up to put focus on ratings firms” (WSJ, 6/25/14)
• SEC Regulation of High Speed Trading:
  • “SEC proposes safeguards against disruption by HFTs” (FT, 6/6/14)
  • “SEC chief offers rules to govern fast trading” (NYT, 6/6/14)
  • “High-speed traders face tighter reins” (WSJ, 6/6/14)
• SEC / US Attorney’s Revolving Door:  “Senior US prosecutor who fought Wall Street is departing” (NYT, 6/26/14)
• SEC Rule Limiting Derivatives Trading:  “SEC limits derivatives trading by foreign branches of US banks” (NYT, 6/26/14)

May 2014

• SEC Budgetary Pressures:  “Bad sci-fi movie meets budgetary pressures” (FT, 5/9/14)
• SEC Investment in High-Tech Tools:  [TOP TEN] “With the program” (FT, 5/9/14)
• SEC’s New Emphasis on Enforcement:[TOP TEN]“SEC vows more use of a little used tool” (NYT, 5/28/14)
• SEC Regulation of ‘Dark Pools’:  “SEC set to spur exchange trading” (WSJ, 5/27/14)
• SEC Regulation Post-Financial Crisis: “SEC’s lack of progress frustrates officials” (FT, 5/28/14)

April 2014

• SEC’s New Emphasis on Enforcement:
  • “New director shows SEC’s get-tough stance” (LA Daily Journal, 4/16/14)
  • “Regulatory actions increase sharply” (LA Daily Journal, 4/16/14)
  • [TOP TEN]“When regulators think they’re prosecutors” (WSJ, 4/9/14)
  • “Some prefer litigation when the SEC calls” (LA Daily Journal, 4/4/14)
• SEC Record of “Fair Funds” Recoveries for Investors:  “The SEC record of small and big bucks” (WSJ, 4/30/14)

March 2014

• SEC Regulation of Asset-Management Industry: “SEC set to alter stance on money funds” (WSJ, 3/26/14)
• SEC Whistleblower Program: “A whistle that’s lost in the crowd” (NYT, 3/8/14)

February 2014

• SEC Approach to Trials:  [TOP TEN] “SEC tries to stem defeats at trials” (WSJ, 2/14/14)
• SEC “Tick” Program: “SEC test to alter ‘Tick’ size planned” (WSJ, 2/23/14)
• SEC’s New Head of Trading Oversight: “SEC taps Luparello  to oversee trading” (WSJ, 2/14/14)
• SEC Review of High Frequency Trading Exchanges and “Dark Pools”: “SEC’s review of trading will see some of its own work” (NYT, 2/12/14)
• SEC Requires Credit Suisse Admission of Guilt in $196 million Settlement:
  • “Credit Suisse settles with SEC” (WSJ, 2/23/14)
  • [TOP TEN] “Credit Suisse admits guilt in settling with SEC” (NYT, 2/22/14)
• SEC Trial Record: [TOP TEN]“Mixed Verdict in the case against Life Partners” (WSJ, 2/5/14)
• SEC Whistleblower Program: [TOP TEN] “In an SEC Case, tale of the tip-off” (WSJ, 2/27/14)

January 2014

• Document Redacting (AIG Investigation): “Files request is met with black pen” (WSJ, 1/28/14)
• Fines re Tweets: “SEC: adviser tweets not so sweet” (WSJ, 1/31/14)
• New SEC Tougher Approach Under White: [TOP TEN] “SEC chief won’t go easy on violators” (LAT, 1/2/14)
• SEC Enforcement Approach:
  • “With crisis behind SEC’s co-chief of enforcement is leaving” (NYT, 1/4/14)
  • “SEC back to one chief for enforcement office” (WSJ, 1/4/14)

December 2013

• SEC Clawback Lawsuits Under Sarbanes-Oxley: “Clawbacks? They’re still a rare breed” (NYT, 12/30/13)
• SEC Decisions Not to Prosecute Broad MBS Cases (Wells Fargo, Goldman, S&P): [TOP TEN]“SEC tension as it examined mortgage cases” (NYT, 12/20/13)
• SEC Enforcement Approach: [TOP TEN] “SEC trims its caseload after crisis” (WSJ, 12/18/13)
• SEC MBS/CDO Settlements:
  • “Bank of America to pay $131.8 million penalty in mortgage deals” (NYT, 12/13/13)
  • [TOP TEN] “SEC winding down bond-deal probes” (WSJ, 12/13/13)

November 2013

• Municipal Bond Issuer Fined: “SEC fines a muni bond issuer for first time; underwriter penalized” (WSJ, 11/6/13)
• SEC Developments – 2013: “Securities law developments in 2013” (LA Daily Journal, 11/1/13)
• SEC and Revolving Door: [TOP TEN] “Slowing the revolving door between public and private jobs” (NYT, 11/12/13)
• SEC’s Mary Jo White: [TOP TEN] “Street Cop” (The New Yorker, 11/11/13)

October 2013

• SEC $12 Million Fine of Knight Capital: “Knight Capital to pay $12 million fine on trading violations” (NYT, 10/17/13)
• SEC Enforcement Approaches:
  • “Easy prey pads SEC numbers” (NYT, 10/18/13)
  • “At the SEC, a question of home-court edge” (NYT, 10/6/13)
  • “SEC ramps up fine amounts to deter misconduct” (WSJ, 10/2/13)
• SEC New Policy of Seeking “Admission of Wrongdoing”:[TOP TEN] “Legal side effect in admission to SEC” (NYT, 10/8/13)
• SEC New Rule re Internet Crowdfunding: “An SEC rule change opens a new era for corwdfunding” (WSJ, 10/10/13)

September 2013

• Financial Crisis 5 Years Later– SEC and New Approach to Enforcement: [TOP TEN]“Wall Street’s top cop tries to rebuild its reputation” (WSJ, 9/12/13)
• SEC’s Approach to Citigroup: [TOP TEN] “Was this whistle-blower muzzled” (NYT, 9/22/13)
• SEC’s Approach to Holding Individual Executives Responsible: [TOP TEN] “SEC to focus on individual conduct, chief says” (LAT, 9/27/13)
• SEC’s Approach to JP Morgan’s problems: 
  • [TOP TEN] “In JP Morgan Chase case, a missed opportunity to charge its executives” (NYT, 9/26/13)
  • [TOP TEN] “As inquiries persist, JP Morgan loses favor” (NYT, 9/20/13)
  • [TOP TEN] “JP Morgan faces a hard-line SEC” (WSJ, 9/20/13)
• SEC Enforcement of London Hedge Funds: [TOP TEN]“Wielding broader powers, SEC examines hedge funds in London” (NYT, 9/18/13)
• SEC /UK $920 settlement of JP Morgan London Whale Trading Loss:
  • “As JP Morgan settles up, shareholders are hit anew” (NYT, 9/24/13)
  • “JP Morgan is fined $920m over London Whale fiasco” (FT, 9/20/13)
  • “JP Morgan admits it broke laws” (LAT,  9/20/13)
• SEC New Policy of Seeking “Admission of Wrongdoing”:
  • [TOP TEN] “Bank is said to admit fault in settlement of trade loss” (NYT, 9/17/13)
  • [TOP TEN] “J.P. Morgan set to agree to big fine for ‘Whale’” (WSJ, 9/17/13)
  • “JPMorgan may pay $700 million to settle ‘London Whale’ case” (LAT, 9/17/13)
  • “The SEC should admit a n-admit change” (WSJ, 9/5/13)
• SEC Market Manipulation Settlement (D.E. Shaw, Deerfield): “Firms to pay $14 to settle” (NYT, 9/18/13)

August 2013

• End of SEC Mortgage-Backed Securities Investigations: [TOP TEN]“SEC’s hunt for crisis-era wrongdoing loses steam” (WSJ, 8/7/13)
• JOBS Act and Hedge Fund/Private Equity Soliciting: “Fraud concerns as SEC lifts decades old solicitation ban” (LA Daily Journal, 8/6/13)
• Revolving Door:[TOP TEN]“Change becomes status quo at SEC”  (WSJ, 8/21/13)
• SEC’s Approach in Southern California: “A year in, SEC regional head has stepped up enforcement” (LA Daily Journal, 8/22/13)
• SEC Commissioner Appointment Process: [TOP TEN]“Independent agencies, sometimes in name only” (NYT, 8/9/13)
• SEC Regional Director (Layne): “A year in, SEC regional head has stepped up enforcement” (LA Daily Journal, 8/22/13)
• SEC New Policy of Seeking “Admission of Wrongdoing”:
  • [TOP TEN]“SEC pact seen as model” (WSJ, 8/21/13)
  • “Moment of truth” (FT, 8/21/13)
  • [TOP TEN]“Falcone to admit wrongdoing as SEC takes a harder line” (NYT, 8/20/13)
  • “Wall Street star Philip Falcone admits wrongdoing in SEC settlement” (LAT, 8/20/13)
  • “Harbinger’s Falcone admits wrongdoing” (WSJ, 8/20/13)
  • [TOP TEN]““Whale’ unlikely to face charges” (WSJ, 8/9/13)
  • [TOP TEN]“SEC is said to press JP Morgan for an admission of wrongdoing” (NYT, 8/9/13)
  • “Mea culpa? SEC policy over admissions met by skeptics” (LA Daily Journal, 8/2/13)
• SEC Rare Enforcement Action Against Private Equity Industry (Oppenheimer): “SEC charges former Oppenheimer manager with misleading investors” (NYT, 8/21/13)

July 2013

• Accounting Fraud and the SEC’s New Task Force: “New fraud crackdown looms” (WSJ, 7/9/13)
• Deregulation and New SEC Rules: “You’ve been warned” (NYT, 7/11/13)
• Hedge Fund Solicitors/Ads and the SEC:
  • “SEC rule allows ads on private offerings” (NYT, 7/11/13)
  • “SEC tackles ‘solicitation’ fears” (FT, 7/11/13)
  • “SEC to clear ad curbs on hedge funds” (WSJ, 7/10/13)
• Mary Jo White Era at the SEC: [TOP TEN]“Under new chief, a feistier SEC emerges” (NYT, 7/20/13)
• Revolving Door:[TOP TEN]“A legal bane of Wall Street switches sides” (NYT, 7/23/13)
• SEC New Policy of Seeking “Admission of Wrongdoing”:[TOP TEN]“Requiring defendants to admit guilt will be costly for SEC” (NYT, 7/2/13)
• SEC Rejects Proposed Hedge-Fund Manager Settlement (Falcone): [TOP TEN]“SEC rejects pact on Falcone suits” (WSJ, 7/20/13)

June 2013

• Chief Counsel and Whistleblower Claims:
  • “SEC chief counsel under fire” (FT, 6/10/13)
  • “Accord reached over SEC firing” (WSJ, 6/10/13)
• Mary Jo White Era at the SEC:[TOP TEN]“Where the SEC action will be” (WSJ, 6/24/13)
• Money Market Funds’ Reform and the SEC:
  • “The SEC gets money-fund reform half right” (WSJ, 6/18/13)
  • “Concerns bubble up over SEC Fund Plan” (WSJ, 6/14/13)
  • “Some baby steps on money funds” (NYT, 6/9/13)
  • “US money market funds: bucking up” (FT, 6/7/13)
  • “SEC proposes radical money market funds reform” (FT, 6/6/13)
  • “SEC proposes changes in money funds” (NYT, 6/6/13)
  • “SEC backs money-fund shift” (WSJ, 6/6/13)
  • “A reform beginning at the SEC” (WSJ, 6/6/13)
  • “SEC to vote on proposal to overhaul money funds” (NYT, 6/5/13)
  • “SEC ready to curb money funds” (WSJ, 6/5/13)
• Revolving Door:
  • “LPL hires ex-official of the SEC” (WSJ, 6/20/13)
  • [TOP TEN]“Recusals likely for SEC top cop” (WSJ, 6/8/13)
• SEC Investigation of High-Speed Trading and Pre-Public Information Release:
  • “SEC begins an inquiry of Thomson Reuters data” (NYT, 6/28/13)
  • “SEC reviews release of manufacturing data” (WSJ, 6/28/13)
• SEC New Policy of Seeking “Admission of Wrongdoing”:
  • [TOP TEN] “SEC is set to try out guilt plan” (WSJ, 6/27/13)
  • [TOP TEN]“The SEC has a message for firms not used to admitting guilt” (NYT, 6/22/13)
  • [TOP TEN]“SEC seeks admissions of fault” (WSJ, 6/19/13)

May 2013

• 10b5-1 Plans and Reform”: “SEC Slow to Change Trade Rule” (WSJ, 5/10/13)
• Exchanges and the SEC: “Regulators target exchanges as they ready record fine” (WSJ, 5/17/13)
• Money Market Funds’ Reform and the SEC:
  • “ ‘Prime’ Funds Face Change” (NYT, 5/10/13)
  • “Agency zeroes in on ‘Prime’ funds” (WSJ, 5/3/13)
• “No Admit” Settlements and the SEC: “On settling with the SEC without admitting guilt” (WSJ, 5/29/13)
• Political Spending Discussions and the SEC: “SEC and political spending” (LAT, 5/7/13)
• Revolving Door: [TOP TEN] “Probe into Medicare tips grows” (WSJ, 5/3/13)
• SEC Regulation of ‘Ratings Shopping’: “Regulators to curb ratings shopping” (FT, 5/13/13)
• SEC Settlement with Hedge Fund CEO (Falcone): “Hedge Fund Manager and S.E.C. Reach Deal” (NYT, 5/10/13)

April 2013

• BofA MBS Settlement: “Bank will pay credit unions $165 million in a settlement” (NYT, 4/3/13)
• New SEC Chief (Nominee: Mary Jo White):
  • “New leader expected for SEC enforcement unit” (NYT, 4/22/13)
  • “SEC set to fill key post” (WSJ, 4/22/13)
  • “Note to New SEC Chief: The clock is ticking” (NYT, 4/14/13)
  • “White is confirmed” (WSJ, 4/9/13)
  • “Senate gives White its unanimous consent for SEC” (NYT, 4/9/13)
  • “Senate confirms new SEC leader” (LAT, 4/9/13)
• Goldman Sachs lawsuit (Fabrice Tourre): “From ‘Fabulous Fab’ to Grad Student” (WSJ, 4/26/13)
• SEC New Co-Enforcement Chiefs:
  • “Co-Directors For S.E.C. Signal Shift” (NYT, 4/23/13)
  • “SEC Will Have Two Share Enforce Role” (WSJ, 4/23/13)
• Required Disclosures of Corporate Political Donations:
  • “Corporate Donations and SEC” (NYT, 4/25/13)
  • “SEC gets plea: Force companies to air donations” (NYT, 4/24/13)
• Revolving Door: “SEC ex-chief lands at consultant” (WSJ, 4/2/13)
• SEC’s Approach to Social Media Disclosures and High-Frequency Trading:  “Twitter speaks, Markets listen, and fears rise” (NYT, 4/29/13)
• SEC Foreclosure IPO Investigation: “Nasdaq aims to payup in SEC Facebook Probe” (WSJ, 4/24/13)
• SEC Appeals to Money Market Funds:“Money funds, waiting for the fog to lift” (NYT, 4/7/13)
• SEC Settlement re Loan Losses: “Capital One settles charges it understates loan losses” (NYT, 4/25/13)
• SEC Whistle Blower Program: “Hazy future for SEC Whistle-Blower Effort” (NYT, 4/24/13)
• Social Media Disclosures: 
  • “SEC’s ruling won’t make many Facebook friends” (FT, 4/4/13)
  • “SEC sets rules for disclosures using social media“ (NYT, 4/3/13)

March 2013

• New SEC Chief (Nominee: Mary Jo White):
  • “Dismissing concerns, panel backs White’s S.E.C. Nomination” (NYT, 3/20/13)
  • “Number of cases filed by SEC slows” (WSJ, 3/18/13)
  • “Senate panel questions 2 Obama financial nominees” (LAT, 3/13/13)
  • “SEC pick pressed on bank role” (WSJ, 3/13/13)
  • [TOP TEN] “At hearing, nominee for SEC Chief vows to be a tough Wall St. regulator” (NYT, 3/13/13)
  • “Nominee to lead the SEC vows an unrelenting fight on fraud” (NYT, 3/12/13)
  • “Both sides of SEC nominee face heat” (WSJ. 3/12/13)
  • “Confirmation questions for Mary Jo White” (NYT, 3/11/13)
  • [TOP TEN] “Corralling Mobsters, if not many big banks” (NYT, 3/10/13)
• Revolving Door:
  • “Once more through the revolving door for Justice’s Breuer” (NYT, 3/28/13)
  • [TOP TEN]“Wall St. ties in a prospect for deputy at the SEC” (NYT, 3/7/13)
• SEC Quantitative Analysis Unit to Monitor Algorithmic Trading:
  • “FBI joins war against abuse of fast trading” (FT, 3/6/13)
  • “Rise of machines prompts SEC to join the tech war” (FT, 3/6/13)

February 2013

• Amgen Shareholder Lawsuit: “High court allows Amgen suit” (WSJ, 2/28/13)
• Mercury Interactive Settles Stock Options Backdating Case: “Former Mercury Interactive GC strikes SEC deal” (LA Daily Journal, 2/28/13)
• New SEC Chief (Nominee: Mary Jo White):
  • “Nominee tries to ally skepticism” (NYT, 2/27/13)
  • “Hearing is expected soon for SEC nominee” (NYT, 2/26/13)
  • “A revolving door in Washington with spin, but less visibility” (NYT, 2/21/13)
  • “Incoming SEC head faces early test” (FT, 2/19/13)
  • “SEC pic could face conflicts” (LAT, 2/18/13)
  • “Nominee to lead SEC discloses wealth” (NYT, 2/12/13)
  • “SEC nominee Mary Jo White discloses A-list of clients” (LAT, 2/9/13)
  • “Mary Jo White at the SEC” (NYT, 2/8/13)
  • [TOP TEN]“Tangle of ties at SEC” (WSJ, 2/5/13)
  • “Hidden fees will lead funds to OK corral” (FT, 2/4/13)
• Revolving Door:
  • “SEC’s revolving door hurts its effectiveness, report says” (NYT, 2/11/13) [Project on Government Oversight Report]
• Robo-Accountant: “SEC to roll out ‘RoboCop against fraud” (FT, 2/14/13)
• SEC Trial of “Broke the Buck” case (Reserve Primary Fund / Bruce Bent): “Feuding over fund collapse drags on” (WSJ, 2/21/13)
• US Supreme Court Review:
  • [TOP TEN]“Supreme Court decides 2 securities fraud cases” (NYT, 2/28/13)
  • “For SEC, a setback in bid for more time in fraud cases” (NYT, 2/28/13)
  • “Supreme Court puts five-year limit on SEC seeking fraud fines” (FT, 2/28/13)
  • “Supreme Court rules against SEC on relaxed time limits” (WSJ, 2/28/13)
  • “Supremes 9, SEC 0” WSJ, 2/28/13)

January 2013

• Credit Rating Agencies:
  • “SEC reigns in ratings firm” (WSJ, 1/23/13)
  • “SEC disciplines a credit ratings firm” (NYT, 1/23/13)
• New SEC Chief (Nominee: Mary Jo White)
  • “A market-cop image may be challenged” (WSJ, 1/31/13)
  • [TOP TEN] “Nominee for ‘Sheriff has worn banks’ hat” (NYT, 1/29/13)
  • “Obama’s choice to head SEC faces tough scrutiny” (FT, 1/29/13)
  • “Securities lawyers applaud Obama pick” (LA Daily Journal, 1/25/13)
  • [TOP TEN] “Making them pay and confess” (NYT, 1/27/13)
  • [TOP TEN] “Six degrees of Mary Jo White” (WSJ, 1/26/13)
  • “Sign to Wall Street, Obama’s Picks for regulators: Two former prosecutors” (NYT, 1/25/13)
  • “Political regulators” (WSJ, 1/25/13)
  • “SEC nominee signals shift” (WSJ, 1/25/13)
  • “Obama to nominate former US Attorney to SEC” (FT, 1/25/13)
  • “Ex-US Attorney is picked to lead the SEC” (LAT, 1/25/13)
  • “Likely pick to head SEC is veteran prosecutor and litigator” (WSJ, 1/22/13)
• Revolving Door:
  • “SEC enforcement chief steps down” (WSJ, 1/10/13)
  • “Khuzami SEC enforcement chief who reinvigorated unit, to step down” (NYT, 1/10/13)
• SEC’s First Recent Lawsuit Against Auditors(KPMG): 
  • “Two auditors of bank face charges from SEC” (LA Daily Journal, 1/10/13)
  • “Auditors charged over bank failure” WSJ, 1/10/13)
  • “SEC seeks to penalize two auditors in bank case” (NYT, 1/10/13)
• SEC Pursuit of Celebrity Fraud: “SEC catching falling star” (LAT, 1/19/13)
• US Supreme Court Review:
  • “The SEC in the dock” (WSJ, 1/9/13)
  • “US argument is assailed by justices in fraud case” (NYT, 1/9/13)

December 2012

• High Speed Trader Regulation:
  • “High-speed traders race to fend off regulators” (WSJ, 12/28/12)
  • “High-speed trades hurt investors, a study says” (NYT, 12/4/12)
• Judge challenges SEC settlement: “Judge takes aim at another SEC settlement” (NYT, 12/24/12)
• New SEC Chief (Nominee: Mary Jo White):
  • “An investor for Chief of SEC?” (WSJ, 12/11/12)
  • “Schapiro’s boss” (WSJ, 12/6/12)
  • “SEC chief delayed rule over legacy concern” (WSJ, 12/3/12)
• SEC Enforcement Chief Khumzami: “SEC Enforcement Chief Khumzami to leave post” (WSJ, 12/21/12)
• SEC Investigation of China Audits:
  • “US-China Audits spat may spill over” (WSJ, 12/28/12)
  • “China investors angry at mud-slinging” (FT, 12/15/12)
  • “SEC sues gate keeper for Chinese firms” (WSJ, 12/12/12)
  • “Sorting out a Chinese puzzle in auditing” (NYT, 12/7/12)
  • “SEC / China” (FT, 12/8/12)
  • “Scrutiny at the gate: firm’s role questioned” (WSJ, 12/6/12)
  • “Audit actions threatens China Group’s US Listings” (WSJ, 12/5/12)
  • “SEC charges Chinese affiliates of 5 big accounting firms” (LA Daily Journal, 12/4/12)
  • “Top audit firms face SEC China crackdown” (FT, 12/4/12)
  • “US sues big firms over China audits” (WSJ, 12/4/12)
  • “SEC charges five firms over audits in China” (NYT, 12/4/12)
• SEC Investigation of Netflix SEC posting on Facebook:
  • “Madoff got a way but Netflix won’t” (WSJ, 12/8/12)
  • “SEC warns Netflix CEO Hastings” (WSJ, 12/7/12)
  • “SEC warns Netflix over a post on Facebook” (NYT, 12/7/12)
  • “SEC takes issue with Netflix’s Facebook post” (LAT, 12/7/12)
• SEC Investigation of Deutsche Bank Based on Three Whistleblowers ($12 Bn Paper Losses Hidden):
  • [TOP TEN]“Stance on derivatives haunts Deutsche” (FT, 12/31/12)
  • “Experts back whistleblowers over Deutsche Bank’s risk valuations” (FT, 12/31/12)
  • “Deutsche bank in spotlight over claims it hid losses” (FT, 12/8/12)
  • “Simplicity in banking should always take precedence” (FT, 12/7/12)
  • “Minding the gap at Deutsche bank” (FT, 12/7/12)
  • “Regulators sat in on Deutsche audits” (FT, 12/7/12)
  • “Regulators probe crisis-era actions by Deutsche Bank” (WSJ, 12/6/12)
  • “Deutsche bank accused of fraud by staff” (12/6/12)
  • [TOP TEN] “A show of strength or a fiction” (FT, 12/6/12)
• SEC Investigation of TheStreet.com Executives: “The Street, Execs settle charges” (LAT, 12/19/12)
• SEC Trial of “Broke the Buck” case (Reserve Primary Fund / Bruce Bent): “SEC to seek new trial for Bent” (WSJ, 12/14/12)
• The Year in Review: “Legal mazes murkiest corners” (WSJ, 12/24/12)

November 2012

• Credit Rating Firms:
  • “Credit raters still falling short of standards, SEC says in annual report” (WSJ, 11/16/12)
  • “SEC: Credit Rating Firms fall short” (LAT, 11/16/12)
• High Speed Trader Regulation: “Exchanges get closer inspection” (WSJ, 11/20/12)
• New SEC Chief (Elisse Walter):
  • “As official drops out, race shifts for SEC” (NYT, 11/29/12)
  • “Schaprio to step down from SEC” (FT, 11/27/12)
  • “SEC’s chief’s exit opens void” (WSJ, 11/27/12)
  • “SEC faces paralysis on top issues” (LAT, 11/27/12)
  • “Leadership at the SEC” (NYT, 11/27/12)
  • “Shaping up a divided SEC” (WSJ, 11/27/12)
  • “An ally of the old boss also goes her own way” (WSJ, 11/27/12)
• SEC Investigation of JP Morgan:
  • “SEC vs. JP Morgan” (WSJ, 11/13/12)
  • [TOP TEN] “No individual charges in probe of JP Morgan” (WSJ, 11/12/12)
• SEC Drops CDO Lawsuit (Steffelin):
  • [TOP TEN] “Another fumble by the SEC on fraud” (NYT, 11/17/12)
  • “SEC drops bond lawsuit” (WSJ, 11/17/12)
• SEC Settlement with JP Morgan and Credit Suisse ($417 million):
  • [TOP TEN] “SEC two banks settle over loans” (WSJ, 11/17/12)
  • “Morgan, Credit Suisse settle with SEC” (LAT, 11/17/12)
  • “Two banks to settle case for $417 million” (NYT, 11/17/12)
• SEC Trial of “Broke the Buck” case (Reserve Primary Fund / Bruce Bent):
  • [TOP TEN] “Journey to reach the Bent verdict” (WSJ, 11/27/12)
  • “Time for compromise in money market reform” (WSJ, 11/23/12)
  • “Money fund breakthrough” (WSJ, 11/23/12)
  • [TOP TEN] “Reserve primary managers cleared” (WSJ, 11/10/12)
  • [TOP TEN] “Money market pioneer and son cleared of fraud” (NYT, 11/13/12)

October 2012

• Credit Rating Firms: “Reform for Congo, not Wall Street” (WSJ, 10/9/12)
• High Speed Trader Regulation: “To regulate high-speed traders, SEC turns to one of them” (NYT, 10/8/12)
• IndyMac CEO SEC Settlement: “IndyMac Ex-CEO Settles” (WSJ, 10/2/12)
• SEC Investigation of Municipal Bankruptcy (San Bernadino): “SEC probe city in distress” (LAT, 10/17/12)
• SEC Trial of “Broke the Buck” case (Reserve Primary Fund / Bruce Bent):
  • “Court drama puts focus on money funds” (FT, 10/15/12)
  • “Bent had deal hope” (WSJ, 10/13/12)
  • “Money-Fund pioneer defends his actions” (WSJ, 10/12/12)
  • “Trial begin of SEC suit in money-funds case” (WSJ, 10/10/12)

September 2012

• Aiding and Abetting Liability: “Securities fraud element relaxed for SEC” (LA Daily Journal, 9/20/12)
• Appellate Review of SEC Cases: “Circuit Court needs to let the SEC do its job” (NYT, 9/21/12)
• Conrad Black Case: “The SEC and the First Amendment” (WSJ, 9/5/12)
• More Active  SEC?: “Time for SEC to act and put a stop to casino markets” (FT, 9/25/12)
• Stanford Financial: “SEC to appeal in Stanford case” (LAT, 9/1/12)

August 2012

• New Chief of SEC’s Los Angeles Office (Michelle Wein Layne): “SEC’s new cop on the beat in LA” (LAT, 8/31/12)
• SEC CDO Trial of CDO Executive (Stoker): “Jury clears ex-manager at Citigroup in debt case” (NYT, 8/1/12)
• SEC Whistle-Blower Program:
  • “SEC pays $50,000 in first whistleblower award” (WSJ, 8/22/12)
  • “SEC pays out first whistleblower reward” (NYT, 8/22/12)
  • “SEC awards $50,000 to whistleblower” (FT, 8/22/12)
  • “SEC whistle-blower program paying off for agency, tipsters” (LAT, 8/22/12)
• SEC’s “Broke the Buck” case (Reserve Primary’s Executives): “‘Broken Fund’ shifts the blame” (WSJ, 8/17/12)

July 2012

• SEC CDO Trial of CDO Executive (Stoker): 
  • “If little else, Banker’s trial may show Wall St. foolishness” (NYT, 7/18/12)
  • “Ex-Citi banker faces trial over CDO sales” (FT 7/16/12)
• Statute of Limitations: “Clock is ticking on crisis charges” (WSJ, 7/12/12)
• SEC Whistle-Blower Program: “As tips flow in, whistle-blower attorneys abound” (LA Daily Journal, 7/25/12)

May 2012

• SEC Strike Force: “SEC adds fire power in pursuit of violators” (NYT, 5/22/12)

April 2012

• Justice Done?: “Weighing SEC’s crackdown on fraud” (WSJ, 4/11/12)