Brian A. Hooven
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On June 4, we posted a summary of SEC Enforcement Co-Director Steven Peikin observations during his recent keynote address at the New York City Bar Association’s 7th Annual White Collar Crime Institute. Co-Director Peikin imparted a few suggested “do’s and don’ts” for effective communication with the SEC during the Wells process. Although Co-Director Peikin’s suggestions should serve as … Continue Reading
During his recent keynote address at the New York City Bar Association’s 7th Annual White Collar Crime Institute, SEC Enforcement Co-Director Steven Peikin imparted a few suggested “do’s and don’ts” for effective communication with the SEC during the Wells process—typically the last opportunity to address potential charges prior to the authorization of a SEC enforcement … Continue Reading
On Friday, the SEC filed a complaint against James C. Cope, a former member of the Executive Committee of Pinnacle Financial Partners’ (“PFP”) board of directors, alleging that he engaged in insider trading. The same day, Cope pleaded guilty to related insider trading charges brought by the U.S. Attorney’s office for the Middle District of … Continue Reading
SEC Enforcement Co-Director Gives Guidance for Wells Process, Part 2
By Samuel J. Waldon, Joshua M. Newville and Brian A. Hooven on Posted in SEC Enforcement, Securities Law, White Collar
SEC Enforcement Co-Director Gives Guidance for Wells Process
By Samuel J. Waldon, Joshua M. Newville and Brian A. Hooven on Posted in SEC Enforcement, Securities Law, White Collar
SEC and DOJ Charge Board Member with Trading on Inside Information . . . During a Board Meeting
By Joshua M. Newville, Sigal Mandelker and Brian A. Hooven on Posted in SEC Enforcement, White Collar
