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2016-05-25T00:00:00.000Z

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Wrong Andrew Ceresney?

Mr. Andrew Ceresney J.

Director of the Division of Enforcement

SEC Actions

Direct Phone: (202) ***-****       

Email: c***@***.gov

SEC Actions

1801 K St. N.W. Suite 750

Washington D.C., District of Columbia 20006

United States

Company Description

The SEC may be developing theme based insider trading cases. In recent weeks the agency brought two insider trading actions centered on golfing friends. SEC v. O'Neill, Civil Action No. 1:14-cv-13381 (D. Mass. Filed August 18, 2014); SEC v. McPhail, Civil... more

Find other employees at this company (98)

Background Information

Employment History

Director
Securities and Exchange Commission

Partner
Debevoise & Plimpton LLP

Affiliations

Board Member
King & Spalding LLP

Board Member
The Fund For Modern Courts

Founder
FINRA

Deputy Chief Appellate Attorney and A Member
Commodities Fraud Task Force

Member of the Judiciary Committee
Association of the Bar of the City of New York

Education



Columbia College

B.A.

Columbia University

J.D.

Yale Law School

Web References (200 Total References)


Andrew Ceresney, the SEC's ...

www.independent.co.uk [cached]

Andrew Ceresney, the SEC's Enforcement chief, said: "This cyber hacking scheme is one of the most intricate and sophisticated trading rings we have ever seen, spanning the globe and involving dozens of individuals and entities."


In a keynote address at Compliance ...

www.winston.com [cached]

In a keynote address at Compliance Week 2014, the SEC's Enforcement Director, Andrew Ceresney, set out the following test of when the SEC would bring actions against legal and compliance officers. As stated by Mr. Ceresney, such actions would "typically . . . occur when the Division believes legal or compliance personnel have affirmatively participated in the misconduct, when they have helped mislead regulators, or when they have clear responsibility to implement compliance programs or policies and wholly failed to carry out that responsibility."

...
Accordingly, even as to the Firm's violations of Section 206(4) of the Advisers Act and Rule 206(4)-7 thereunder, it not necessary obvious that Mr. Battista's actions fell within the standards for liability previously announced by Mr. Ceresney.
...
Rather than apply the standards announced by Mr. Ceresney, it appears likely that the SEC was motivated by the fact that Mr. Battista played a significant role in the Firm's failure to report information concerning the Portfolio Manager to the boards of the relevant funds.


"Investors were led to believe they ...

www.newsquare.com [cached]

"Investors were led to believe they were purchasing bonds issued by a prestigious law firm that had weathered the financial crisis and was poised for growth," SEC enforcement chief Andrew Ceresney said.

He called the bond sale "a desperate grasp for cash on the basis of blatantly falsified financial results."


Directors Forum 2016 | Andrew J. Ceresney

www.directorsforum.com [cached]

Andrew J. Ceresney | BIO Directors Forum 2016 | Andrew J. Ceresney Directors Forum 2016: Directors, Management & Shareholders in Dialogue

...
Biography of Andrew J. Ceresney
...
Andrew J. Ceresney Mr. Ceresney is the Director of the SEC's Enforcement Division, which has more than 1,300 people throughout the country focused on enforcing the federal securities law. He joined the SEC in April 2013.
Prior to joining the SEC, Mr. Ceresney served as a partner in the law firm of Debevoise & Plimpton LLP, where he was co-chair of the White Collar Group and focused on representing entities and individuals in white collar criminal and SEC investigations, complex civil litigation and internal corporate investigations.
Prior to joining Debevoise, Mr. Ceresney served as an Assistant United States Attorney in the United States Attorney's Office for the Southern District of New York, where he was a Deputy Chief Appellate Attorney and a member of the Securities and Commodities Fraud Task Force and the Major Crimes Unit. As a prosecutor, Mr. Ceresney handled numerous white collar criminal investigations, trial and appeals, including matters relating to securities fraud, mail and wire fraud, and money laundering.
Mr. Ceresney served as a law clerk to the Honorable Dennis Jacobs, Chief Judge of the U. S. Court of Appeals for the Second Circuit from 1997 to 1998.
...
Mr. Ceresney is a graduate of Columbia College and Yale Law School.


Directors Forum 2016 | Andrew J. Ceresney

directorsforum.com [cached]

Biography of Andrew J. Ceresney

...
Andrew J. Ceresney Mr. Ceresney is the Director of the SEC's Enforcement Division, which has more than 1,300 people throughout the country focused on enforcing the federal securities law. He joined the SEC in April 2013.
Prior to joining the SEC, Mr. Ceresney served as a partner in the law firm of Debevoise & Plimpton LLP, where he was co-chair of the White Collar Group and focused on representing entities and individuals in white collar criminal and SEC investigations, complex civil litigation and internal corporate investigations.
Prior to joining Debevoise, Mr. Ceresney served as an Assistant United States Attorney in the United States Attorney's Office for the Southern District of New York, where he was a Deputy Chief Appellate Attorney and a member of the Securities and Commodities Fraud Task Force and the Major Crimes Unit. As a prosecutor, Mr. Ceresney handled numerous white collar criminal investigations, trial and appeals, including matters relating to securities fraud, mail and wire fraud, and money laundering.
Mr. Ceresney served as a law clerk to the Honorable Dennis Jacobs, Chief Judge of the U. S. Court of Appeals for the Second Circuit from 1997 to 1998.
...
Mr. Ceresney is a graduate of Columbia College and Yale Law School.

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