Free Speech, Due Process and Trial by Jury
In this Q&A with The Lawbook, Mallett discusses her time at the SEC, the challenges facing the SEC’s Fort Worth Regional Office, the SEC’s expansion of its whistleblower program and the impact on Texas businesses, and other SEC enforcement trends that impact companies and those in the financial investment world.
According to an SEC order, employees of Senvest Management, which oversees $3 billion in assets, repeatedly discussed company business in personal texts and other “off-channel” platforms in violation of federal securities laws.
A veteran enforcement lawyer with the U.S. Securities and Exchange Commission has joined Kirkland & Ellis’s Dallas office as a partner.
Joseph DeLeon, who helped former FBI agent Bill Stone cheat a Granbury woman out of more than $750,000, apologized and said he, too, was a victim of the grift. But U.S. District Judge Ada Brown was having none of it.
Mascianica joins the firm as a partner and head of its Government Investigations and Regulatory Enforcement group. Mascianica shares why the career move was “too good of an opportunity to pass up” in an interview with The Lawbook.
The U.S. Securities and Exchange Commission filed federal fraud charges Thursday against 17 sales workers with a Houston-based cryptocurrency trading company for allegedly operating a $300 million Ponzi scheme targeting more than 40,000 investors — most of them Latinos.
Following a nearly two-year wait, the Securities and Exchange Commission released its Final Rule — The Enhancement and Standardization of Climate-Related Disclosures for Investors — on March 6. The Final Rule requires publicly listed U.S. companies and foreign private issuers to disclose certain climate-related information in their registration statements and annual reports. This article identifies five key takeaways from the Final Rule.
Gerger Hennessy & Martin is now Gerger Hennessy Martin & Peterson, after Heather Peterson joined the firm March 1. Peterson recently spoke to The Lawbook about her career in criminal justice and why joining Gerger’s firm made sense for her and her clients.
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