David Smyth

David Smyth

Brooks Pierce

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Two Thoughts about Dewey LeBoeuf and Parallel Proceedings

You’ve probably read about the Manhattan district attorney’s office’s indictment of executives at former Big Law giant Dewey LeBoeuf. According to the WSJ Law Blog, the crux is this: “[F]ormer Dewey Chairman Steven...more

3/20/2014 - Enforcement Enforcement Actions Parallel Claims SEC

Thinking about SEC Disgorgement

Upon starting work at on SEC enforcement cases – on either side – one quickly learns that the SEC isn’t authorized to seek money damages in its cases. Instead, the SEC seeks disgorgement of what it contends is a defendant’s...more

12/24/2013 - Disgorgement Enforcement Equitable Relief SEC

SEC CustodyFest Vol. 3: Jason Returns

In this last chapter of SEC CustodyFest, we visit Knelman Asset Management Group. For this case, I’m mostly interested in discussing a change to the SEC’s custody rule, Rule 206(4)-2, from 2010....more

12/6/2013 - Compliance Custody Rule Enforcement GAAP PCAOB SEC

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