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The Week in Securities Litigation: White Testifies At Confirmation Hearing, SEC Brings Another Action

Mary Jo White, selected by the President as the next Chairman of the SEC, testified in her confirmation hearings before a Senate Committee {last] week. Ms. White promised the Committee that under her the agency would complete rule making for Dodd-Frank...

Published Mon, Mar 18 2013 10:49 AM by Thomas O. Gorman

Filed under: litigation, securities, SEC, Thomas Gorman, securities litigation, SEC Actions, SEC enforcement, Dodd-Frank, JOBS Act, Norm Champ, Mary Jo White
The Week In Securities Litigation: 2 High Profile Enforcement Insider Trading Cases In The News

In Congress this week, a bipartisan bill was introduced to roll back part of the Dodd-Frank legislation related to swaps. It would expanded the swaps trading permitted by federally insured banks. Two high profile enforcement insider trading actions were...

Published Sat, Mar 9 2013 11:38 AM by Thomas O. Gorman

Filed under: litigation, U.S. Supreme Court, securities, SEC, Thomas Gorman, securities litigation, SEC Actions, SEC enforcement, Dodd-Frank, Samuel Wyly, Gabelli, Mark Cuban
The Week In Securities Litigation: SEC, CFTC Chairmen Testify; 2 Sentenced To Long Prison Terms

SEC Chairman Elise Walter and CFTC Chairman Gary Gensler testified before a Senate Committee this week, focusing on the implementation of Dodd-Frank. The SEC also approved the budget for the PCAOB. Two former senior executive in the organization of jailed...

Published Sat, Feb 16 2013 4:29 PM by Thomas O. Gorman

Filed under: litigation, securities, SEC, Thomas Gorman, securities litigation, PCAOB, Ponzi scheme, insider trading, SEC Actions, SEC enforcement, Dodd-Frank, FINRA, Galleon, CFTC, Allen Stanford, Elise Walter, Gary Gensler
The Week In Securities Litigation: SEC Targets Chinese Affiliates of Major Audit Firms, Market Professionals

Chinese affiliates of major audit firms and market professionals were the focus of securities enforcement litigation this week. Five PRC based affiliates of major international accounting firms were named as Respondents in an administrative proceeding...

Published Fri, Dec 7 2012 6:52 PM by Thomas O. Gorman

Filed under: litigation, securities, SEC, Thomas Gorman, securities litigation, PCAOB, insider trading, SEC Actions, Dodd-Frank, Chinese companies, audit firms, JOBS Act, Luis Aguilar, Form PF, PRC, derivatives, Division of Investment Management, AICPA Conference, Norm Champ
Lawsuit Filing Seeks To Overturn SEC Rules Over 'Conflict Minerals'

The National Association of Manufacturers and the US Chamber of Commerce have filed a lawsuit with the goal of reversing the SEC rules implemented in August, under the Dodd-Frank Act of 2011, requiring disclosure of "conflict minerals." The...

Published Thu, Nov 1 2012 1:51 PM by David N. Feldman

Filed under: litigation, securities, SEC, Dodd-Frank, mining, Reverse Merger and SPAC Blog, David N. Feldman, Africa, conflict minerals, National Association of Manufacturers, US Chamber of Commerce, Apartheid, Congo, South Africa
Securities Class Action Litigation Follows LIBOR Scandal

At the PLUS D&O Symposium in New York this past March, I participated on a panel entitled, "Financial Institutions Underwriting: Is it Safe to Come Out Yet?" The implication of the panel topic was that perhaps with the passage of the credit...

Published Mon, Jul 23 2012 3:55 PM by Kevin M. LaCroix

Filed under: litigation, securities, D&O Diary, Kevin LaCroix, securities litigation, securities class action, Dodd-Frank, Barclays, LIBOR
The Week In Securities Litigation: Insider Trading, Dodd-Frank Asset Valuations, Old Scandals Dominate

Insider trading, implementing Dodd-Frank, asset valuations and old scandals dominated the securities enforcement litigation this week. The U.S. Attorney's Office in Manhattan and the SEC brought more high profile insider trading cases focused on the...

Published Fri, Jan 20 2012 4:24 PM by Thomas O. Gorman

Filed under: litigation, securities, SEC, Thomas Gorman, securities litigation, SEC Actions, SEC enforcement, Dodd-Frank, Volker Rule
The Week in Securities Litigation: Galleon Defendants Sentenced; SEC Files, Settles Cases

This week three Galleon related defendants were sentenced to prison for insider trading, including Raji Rajaratnam. The Commission filed another significant market crisis case naming the senior officers of a failed bank as defendants. The Commission also...

Published Fri, Oct 14 2011 4:59 PM by Thomas O. Gorman

Filed under: litigation, securities, SEC, Thomas Gorman, securities litigation, FCPA, insider trading, SEC Actions, Dodd-Frank, Galleon, Volker Rule, Rajaratnam
Ohio Federal Judge Denies Motion To Dismiss Shareholder 'Say On Pay' Lawsuit

Only small a small number of companies experienced a negative "say on pay" vote this past proxy season, but many of the companies that did found themselves hit with a shareholder lawsuit in the wake of the negative vote. Cincinnati Bell is one...

Published Fri, Sep 23 2011 5:17 PM by Kevin M. LaCroix

Filed under: litigation, securities, Kevin LaCroix, Dodd-Frank, O Diary, shareholder lawsuit, executive compensation, say on pay, Cincinnati Bell
Federal Reserve Board Approves Debit Card Interchange Rules

WASHINGTON, D.C. - (Mealey's) The Federal Reserve Board on June 29 approved a final rule establishing standards for debit card interchange fees and prohibiting network exclusivity arrangements and routing restrictions as required by the Dodd-Frank...

Published Thu, Jun 30 2011 1:59 PM by Timothy Raub

Filed under: litigation, Federal Reserve Board, Dodd-Frank, Wall Street Reform and Consumer Protection Act, debit card interchange fees, network exclusivity arrangements
The Week In Securities Litigation: SEC Continues Implementing Dodd-Frank

The SEC continued implementing Dodd-Frank this week. New rules were issued regarding hedge fund registration and exemptions. SEC enforcement resolved two significant market crisis cases this week. In one the agency filed a settled action against J.P....

Published Fri, Jun 24 2011 4:38 PM by Thomas O. Gorman

Filed under: litigation, securities, Thomas Gorman, SEC Actions, SEC enforcement, Dodd-Frank, Galleon, J.P. Morgan, hedge funds
Thomas O. Gorman On This Week In Securities Litigation (May 27, 2011)

The Commission issued it controversial new Dodd-Frank whistleblower rules by a 3 to 2 vote this week. Many critics claim the rules will undermine corporate compliance programs. Insider trading is the key theme this week. Insider trading on Capitol Hill...

Published Sat, May 28 2011 11:33 AM by Thomas O. Gorman

Filed under: litigation, securities, SEC, securities litigation, SEC Actions, SEC enforcement, Dodd-Frank, FINRA, Thomas O. Gorman, Grassley
Word Of The Year For Securities Litigation: 'Whistleblower'

A number of different organizations generate annual publicity for themselves by designating a word (or words) of the year . We are not yet half way through 2011 but I am already prepared to propose my own candidate for this year's word of the year...

Published Tue, May 24 2011 4:23 PM by Kevin M. LaCroix

Filed under: litigation, securities, D&O Diary, SEC, Kevin LaCroix, whistleblower, Dodd-Frank, Wall Street Reform
Thomas O. Gorman On This Week In Securities Litigation (May 20, 2011)

This week SEC Enforcement continued to implement its new cooperation initiatives, moving forward from the spectacle of the Stanford testimony last week and the past. The Commission executed its first deferred prosecution agreement. The fact that it resolved...

Published Fri, May 20 2011 4:57 PM by Thomas O. Gorman

Filed under: litigation, securities, SEC, securities litigation, FCPA, SEC Actions, Dodd-Frank, Thomas O. Gorman, market reform
Lawsuits Following In The Wake of 'Say On Pay' Resolutions

One of the many changes introduced by the Dodd-Frank Act was the requirement for a shareholder vote to approve executive compensation. Under the Act's provisions, the vote is not binding on the company or its board, but is purely advisory. Nevertheless...

Published Fri, Apr 29 2011 4:26 PM by Kevin M. LaCroix

Filed under: litigation, securities, D&O Diary, SEC, Kevin LaCroix, Dodd-Frank, say-on-pay initiatives

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The Week in Securities Litigation: White Testifies At Confirmation Hearing, SEC Brings Another Action

The Week In Securities Litigation: 2 High Profile Enforcement Insider Trading Cases In The News

The Week In Securities Litigation: SEC, CFTC Chairmen Testify; 2 Sentenced To Long Prison Terms

The Week In Securities Litigation: SEC Targets Chinese Affiliates of Major Audit Firms, Market Professionals

Lawsuit Filing Seeks To Overturn SEC Rules Over 'Conflict Minerals'

Securities Class Action Litigation Follows LIBOR Scandal

The Week In Securities Litigation: Insider Trading, Dodd-Frank Asset Valuations, Old Scandals Dominate

The Week in Securities Litigation: Galleon Defendants Sentenced; SEC Files, Settles Cases

Ohio Federal Judge Denies Motion To Dismiss Shareholder 'Say On Pay' Lawsuit

Federal Reserve Board Approves Debit Card Interchange Rules

The Week In Securities Litigation: SEC Continues Implementing Dodd-Frank

Thomas O. Gorman On This Week In Securities Litigation (May 27, 2011)

Word Of The Year For Securities Litigation: 'Whistleblower'

Thomas O. Gorman On This Week In Securities Litigation (May 20, 2011)

Lawsuits Following In The Wake of 'Say On Pay' Resolutions