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A Fraud By Any Other Name: Seventh Circuit Holds That SLUSA Extends To Class Actions That Could Be Pursued Under Federal Securities Fraud Laws
A divided panel of the Seventh Circuit recently held that the Securities Litigation Uniform Standards Act requires any covered class action that "could have been pursued under federal securities law" to be brought in federal court.
United States
10 Feb 2017
2
No Longer A Mirage: FCPA Compliance And Cooperation Has Its Benefits
On September 12, 2016, the SEC announced that it had reached a settlement with Jun Ping Zhang, a former executive of a Chinese subsidiary of Harris Corporation, regarding alleged violations of the FCPA.
United States
30 Sep 2016
3
CDX Holdings, Inc. v. Fox: Chancery Court's Decision Is Affirmed, But Dissent Blasts Use Of "Hindsight Bias" Analysis
The underlying action arose out of a sale transaction involving the businesses of Caris Life Sciences, Inc. ("Caris").
United States
21 Jun 2016
4
Mark Cuban Challenges The Referee: The Constitutionality Of SEC In-House Courts
Lucia's appeal stems from the SEC's prosecution of Lucia in an administrative proceeding for misleading prospective clients about the company's retirement wealth management strategy.
United States
23 Feb 2016
5
Another Round Of Favorable SEC Settlements, But Only For Underwriters That Self-Reported
On June 23, 2015, the SEC announced that it had reached settlement agreements with 36 municipal underwriting firms in its first round of settlements under this initiative.
United States
26 Oct 2015
6
District Judge Takes Jab At SEC's Home-Court Advantage In Administrative Proceedings, But Defense Bar May Not Have A Slam Dunk
The defense bar recently won a significant victory in the battle to challenge the SEC's expanded use of administrative proceedings, following the 2010 enactment of the Dodd-Frank Act...
United States
17 Jun 2015
7
Additional Avenues May Be Available For Federal Regulators To Curtail Deceptive Practices In High Frequency Trading
The trade tactics at issue are called "pinging" and "front-running." Pinging refers to entering small marketable orders for trades in order to learn about large hidden orders in dark pools or alternative exchanges.
United States
23 Feb 2015
8
Keep Your Unreasonable Opinions To Yourselves: The Supreme Court Hears Argument In Omnicare
On November 3, 2014, the U.S. Supreme Court held oral argument in Omnicare v. Laborers District Council Construction Industry Pension Fund.
United States
22 Nov 2014
9
Does Being An ‘Expert’ Make You An Expert?
Judge Victor Marrero of the Southern District of New York issued his opinion certifying a class of buyers of the common stock of a company created by a Chinese reverse merger.
United States
12 Sep 2014
10
Insider Trading Gets Political: Trading On Political Intelligence
The sharing of political-insider scoop has recently caused Congress to be subpoenaed for an insider trading investigation.
United States
10 Jul 2014
11
Out Of Control: SEC Says Lack Of Internal Controls Led To HP Paying More Than $108 Million To Settle FCPA Actions
The SEC announced that Hewlett-Packard had agreed to pay more than $108 million to settle FCPA actions brought by the SEC and the Department of Justice.
United States
22 Apr 2014
12
I’m Ready For My Close-Up: SEC Puts The Focus On Moviemaker Over Hostile Takeover Maneuvers
In a story right out of the movies, complete with "poison pills" and "white squires," the SEC announced on March 13, 2014 that motion picture company Lions Gate Entertainment Corporation settled charges that it failed to disclose to investors a set of "extraordinary" corporate transactions designed to thwart takeover efforts by investor Carl Icahn.
United States
28 Mar 2014
13
Investors Get A Voice At The Regulator: SEC Names Its First Head Of The Office Of The Investor Advocate
Though investors might have assumed that the entire Securities and Exchange Commission was their advocate to begin with, on February 12th the agency announced that it had hired Rick Fleming to be its very first Investor Advocate in the recently created Office of the Investor Advocate ("OIA").
United States
23 Feb 2014
14
Can Your Director Bank On The Business Judgment Rule?
Ever had one of those days where you think you’re acting with good faith, diligence, and care, and yet you still get sued by the FDIC?
United States
19 Dec 2013
15
A Bird In The Hand Is Worth … Nothing If You Can't Really Sell It
A pair of investment firms recently filed suit against Twitter in the Southern District of New York, alleging that Twitter had fraudulently refused to allow them to sell its private stock in advance of its much-anticipated IPO.
United States
11 Nov 2013
16
When Are Directors Liable For Failing To Exercise Proper Oversight?
Recently we discussed whether directors of public companies face potential liability for not preventing cyber attacks.
United States
11 Sep 2013
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