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Multiple SEC Enforcement Actions, New Treasury Sanctions, More Crypto-Mining Malware Detected
This week, the LA office of the SEC brought an action against a Cayman Islands business, ICOBox, and its founder based in Beverly Hills, California, Nikolay Zvodokimov.
United States
25 Sep 2019
2
SEC Enforcement Actions Continue As New Cryptocurrency-Based Assets Launch
The SEC has brought a civil injunctive action in federal court against a California man claiming to be selling instructional packages,
United States
17 Jun 2019
3
SEC Achieves Settlements, FATF Evaluates UK, Regulator Actions In Denmark And New Zealand
The SEC was successful this week in two enforcement settlements. It obtained an order from a federal court in Texas requiring the former CEO and COO of AriseBank to pay $2.7 million to settle registration and anti-fraud violations.
United States
20 Dec 2018
4
SEC Enforcement Actions Announced, New Data On Cryptocurrency Hacks Published
On Oct. 9, 2018, the Securities and Exchange Commission (SEC) filed a subpoena enforcement action in California against an investment trust that failed to respond to an investigative subpoena...
United States
15 Oct 2018
5
Hard For ICOs To Avoid US Courts: Personal Jurisdiction Found In Two Recent Securities Cases Over Foreign ICO Defendants
Over the past year, the plaintiffs' bar and Securities and the Exchange Commission (SEC) have brought class and enforcement action proceedings, respectively,
United States
2 Oct 2018
6
Analysis: Tezos Securities Class Action Survives Motion To Dismiss
Earlier this week, the federal court in the Tezos consolidated securities class action proceeding addressed several thorny jurisdictional issues prevalent in many initial coin offerings (ICOs)...
United States
20 Aug 2018
7
Newman Appears To Narrowly Survive The Second Circuit's Rehearing Of Martoma
On June 25, 2018, a divided panel of the United States Court of Appeals for the Second Circuit reaffirmed the insider trading conviction of a hedge fund portfolio manager in United States v. Martoma...
United States
20 Jul 2018
8
The SEC And Securities Plaintiffs' Bar Take Aim At Initial Coin Offerings
These days it seems that everybody is considering getting into the distributed ledger technology business causing the United States Securities and Exchange Commission ...
United States
29 Dec 2017
9
The Supreme Court Reins In The SEC Further On Its Time To Pursue Enforcement Remedies
The decision marks the second time in less than five years that the Supreme Court has interpreted Section 2462 to restrain the SEC.
United States
13 Jun 2017
10
2016 Year-End Securities Litigation And Enforcement Highlights
Welcome to the 2016 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
United States
10 Feb 2017
11
Top 10 SEC Enforcement Highlights Of 2016
This is the third year we are providing our annual Top Ten list of Enforcement Highlights.
United States
27 Jan 2017
12
The Increasing Gatekeeper Liabilities Of Fund Administrators
There is a noticeable trend in the fund services industry that is creating increased exposure and legal liability for fund administrators
United States
16 Aug 2016
13
2016 Mid-Year Securities Litigation And Enforcement Highlights
Welcome to the 2016 Mid-Year Report From the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters...
United States
4 Aug 2016
14
2015 Year-End Securities Litigation And Enforcement Highlights
Welcome to the 2015 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
United States
3 Mar 2016
15
SEC Announces 2016 Examination Priorities
Earlier today, the Office of Compliance Inspections and Examinations (OCIE) of the United States Securities and Exchange Commission (SEC) announced its 2016 examination priorities.
United States
14 Jan 2016
16
Get Ready To Be Clawed, With The SEC's Blessing, And It May Cost You Dearly
In the five months since the SEC approved the Proposed Clawback Rules, by a 3-2 vote, various parties have raised a number of concerns about the ambiguities and problematic areas related to the Rules.
United States
23 Dec 2015
17
2015 Mid-Year Securities Litigation And Enforcement Highlights
Welcome to the 2015 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
United States
7 Aug 2015
18
2014 Year-End Securities Litigation Enforcement Highlights
Welcome to the 2014 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement practice team.
United States
12 Feb 2015
19
2014 Top 10 SEC Enforcement Highlights
Mary Jo White was confirmed in April 2013 as Chair of the Securities and Exchange Commission, becoming the first former United States Attorney to serve in that role.
United States
28 Jan 2015
20
The Boundaries For Insider Trading Prosecutions See A Resurgence: The 1980s Are Back!
In a closely followed appeal, the United States Court of Appeals for the Second Circuit on December 10, 2014, delivered an important decision in United States v. Newman
United States
31 Dec 2014
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