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2	Mealey’s Litigation Report: Class Actions	11
3	Mealey’s Daubert Report	10

The Week in Securities Litigation: Companies With China-Based Operations Were SEC Focus

Companies with China based operations were a focus this week for the SEC. The Commission filed two financial fraud actions against companies whose operations were in the PRC. In one there seemed to be virtually no operations while in the other two sets...

Published Fri, May 17 2013 5:11 PM by Thomas O. Gorman

Filed under: litigation, securities, SEC, Thomas Gorman, securities litigation, SEC Actions, SEC enforcement, Mary Jo White, Daniel M. Gallagher
The Week In Securities Litigation: SEC Seeks Budget Hike, Brings 2 New Actions

The focus this week was on the proposed SEC budget as new SEC Chair Mary Jo White told a House subcommittee that the agency needs about a 26% increase. Part of the additional funding is to hire almost 700 new staff members. SEC enforcement, in conjunction...

Published Fri, May 10 2013 5:44 PM by Thomas O. Gorman

Filed under: litigation, securities, SEC, Thomas Gorman, securities litigation, money laundering, SEC Actions, SEC enforcement, FINRA, Mary Jo White
The Week In Securities Litigation: FCPA A Focus, SEC Prevails In Court

The FCPA continued to be a focus this week. Another Alstrom executive was added to a pending criminal prosecution in a superseding indictment charging FCPA violations and money laundering. In court the Commission prevailed in the D.C. Circuit as well...

Published Sat, May 4 2013 5:31 PM by Thomas O. Gorman

Filed under: litigation, securities, SEC, Thomas Gorman, securities litigation, FCPA, SEC Actions, SEC enforcement
The Week In Securities Litigation: First Co-Directors Of SEC's Enforcement Division Take The Helm

George Canellos and Andrew Ceresney, two former colleagues in the Manhattan U.S. Attorney's Office, became the first Co-Directors of the SEC's Enforcement Division. The Division also secured a ruling this week which will permit its subpoena enforcement...

Published Sun, Apr 28 2013 4:55 PM by Thomas O. Gorman

Filed under: litigation, securities, SEC, Thomas Gorman, securities litigation, SEC Actions, SEC enforcement, CFTC, LIBOR, George Canellos, Gary Gensler, Andrew Ceresney, Luis A. Aguilar
The Week In Securities Litigation: Mary Jo White Becomes 31st Chairman Of SEC

Mary Jo White became the thirty-first chairman of the SEC this week. Ms. White take the helm of an agency at a cross-roads. While it has made great strides since the beginning of the financial crisis and a series of scandals many have questioned the vigor...

Published Sat, Apr 13 2013 1:56 PM by Thomas O. Gorman

Filed under: litigation, securities, SEC, Thomas Gorman, securities litigation, SEC Actions, SEC enforcement, JOBS Act, Mary Jo White, Lona Naliengara
The Week in Securities Litigation: SAC Capital, Insider Trading And Facebook Dominate

Speculation about SAC Capital and Steve Cohen, insider trading and Facebook dominated securities enforcement litigation this week. Although SAC Capital has tentatively resolved matters for the moment with enforcement officials, a ruling in private litigation...

Published Sat, Apr 6 2013 7:23 PM by LexisNexis Litigation Resource Community Staff

Filed under: litigation, securities, SEC, Thomas Gorman, Facebook, securities litigation, insider trading, SEC Actions, SEC enforcement, CFTC, SAC Capital, Bart Chilton, Steve Cohen
The Week In Securities Litigation: Insider Trading Continues To Be The Focus

Insider trading continues to be the focus as the first quarter of the year came to a close. The SEC and the Manhattan U.S. Attorney's Office brought another insider trading case against an SAC Capital official. More unidentified traders were identified...

Published Tue, Apr 2 2013 9:06 PM by Thomas O. Gorman

Filed under: litigation, securities, Thomas Gorman, securities litigation, SEC Actions, SEC enforcement
The Week In Securities Litigation: SEC Settles 2 Insider Trading Cases

The SEC settled two insider trading cases this week in which S.A.C. Capital was named as a relief defendant. In one it obtained the largest payment to date in an insider trading case, about $600 million. Reportedly S.A.C. Capital will fund the settlement...

Published Fri, Mar 22 2013 4:02 PM by Thomas O. Gorman

Filed under: litigation, securities, SEC, Thomas Gorman, securities litigation, insider trading, SEC Actions, SEC enforcement, Raj Rajaratnam, Dell, CFTC, Luis Aguilar, S.A.C. Capital, FERC
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: Supreme Court Hands Down 2 Significant Decisions

The Supreme Court handed down two significant securities law decisions this week. In the first the High Court, in unanimous opinion, rejected the contention of the SEC that the five year statute of limitations for seeking a penalty can be extended by...

Published Sat, Mar 2 2013 12:50 PM by Thomas O. Gorman

Filed under: litigation, securities, SEC, Thomas Gorman, Supreme Court, securities litigation, SEC Actions, SEC enforcement, PRC, ASECA
High Court Says Discovery Rule Doesn't Apply To Securities And Exchange Commission

WASHINGTON, D.C. -- (Mealey's) The U.S. Supreme Court on Feb. 27 reversed a Second Circuit U.S. Court of Appeals ruling allowing the Securities and Exchange Commission to seek securities fraud penalties for conduct that had ceased more than five years...

Published Wed, Feb 27 2013 3:48 PM by Michael J. Lello

Filed under: litigation, U.S. Supreme Court, securities, SEC, securities fraud, Securities and Exchange Commission, securities litigation, Securities Exchange Act of 1934, Second Circuit, SEC enforcement, Marc J. Gabelli v. Securities and Exchange Commission, SEC Rule 10b-5, Marc J. Gabelli, Investment Advisers Act, Gabelli Global Growth Fund, discovery rule, Gabelli Funds LLC, Bruce Alpert
The Week In Securities Litigation: SEC Files Another Insider Trading Case, Fraud Action

The Commission filed another "suspicious trading" insider trading case this week. The action centers on the highly publicized acquisition of H.J. Heinz Co . In recently filed court papers the Commission has identified the unknown trader as a...

Published Fri, Feb 22 2013 4:38 PM by Thomas O. Gorman

Filed under: litigation, securities, SEC, Thomas Gorman, securities litigation, SEC Actions, SEC enforcement, DOJ, Australian Securities and Investment Authority
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: DOJ Files Significant Market Crisis Case Against Rating Agency

The Department of Justice filed one of the most significant market crisis cases this week against a major rating agency as a defendant. The case centers on years of false statements about ratings given to RMBS and CDOs, according to the complaint, as...

Published Sat, Feb 9 2013 12:48 PM by Thomas O. Gorman

Filed under: litigation, securities, SEC, Thomas Gorman, CDOs, securities litigation, PCAOB, FIRREA, SEC Actions, SEC enforcement, RMBS, DOJ, Financial Institutions Reform, S&P, Department of Justice, market crisis, U.S. v. McGraw-Hill Companies, and Enforcement Act of 1989, Recover

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The Week in Securities Litigation: Companies With China-Based Operations Were SEC Focus

The Week In Securities Litigation: SEC Seeks Budget Hike, Brings 2 New Actions

The Week In Securities Litigation: FCPA A Focus, SEC Prevails In Court

The Week In Securities Litigation: First Co-Directors Of SEC's Enforcement Division Take The Helm

The Week In Securities Litigation: Mary Jo White Becomes 31st Chairman Of SEC

The Week in Securities Litigation: SAC Capital, Insider Trading And Facebook Dominate

The Week In Securities Litigation: Insider Trading Continues To Be The Focus

The Week In Securities Litigation: SEC Settles 2 Insider Trading Cases

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: Supreme Court Hands Down 2 Significant Decisions

High Court Says Discovery Rule Doesn't Apply To Securities And Exchange Commission

The Week In Securities Litigation: SEC Files Another Insider Trading Case, Fraud Action

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

The Week In Securities Litigation: DOJ Files Significant Market Crisis Case Against Rating Agency