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Searching Content indexed under Securities by Patrick Robbins ordered by Published Date Descending.
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SEC Chairman Announces Significant Changes To Commission Procedures For Considering Disqualification Waivers
On July 3, 2019, Chairman Jay Clayton of the Securities and Exchange Commission (SEC) issued a Statement Regarding Offers of Settlement (the "Public Statement") to announce a significant shift in the SEC's process of...
United States
9 Aug 2019
2
Second Circuit Accepts Controversial "Inflation-Maintenance" Theory Of Securities Fraud Liability
In so-called "price maintenance" securities fraud cases, plaintiffs argue that a misrepresentation that does not cause a stock's price to rise can nevertheless be actionable under Section 10(b) of the Exchange Act.
United States
11 Oct 2016
3
Eighth Circuit Holds Presumption Of Reliance Rebutted Under Halliburton II And Reverses Class Certification In Securities Action
The Best Buy action involves three alleged misrepresentations—all of which related to one another and occurred within a few hours
United States
19 Apr 2016
4
SEC Settlement With Layne Christensen Raises New Questions On The Government’s Understanding Of The Business Nexus Element Of The FCPA
Last week the SEC settled charges against Layne Christensen for various violations of the FCPA.
United States
11 Nov 2014
5
Securities Enforcement 2014 Mid-Year Review
While not nearly as transformative and dramatic as the first half of 2013, the first six months of 2014 was just as busy and productive.
United States
6 Aug 2014
6
SEC Enforcement Year In Review - 2013
Marked by leadership changes, high-profile trials, and shifting priorities, 2013 was a turning point for the Enforcement Division of the Securities and Exchange Commission.
United States
17 Feb 2014
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