Recent Posts

The Week In Securities Litigation: Record Payments, Potentially Significant MOU
Posted on 2 Jun 2013 by Thomas O. Gorman

Record payments and a potentially significant MOU were the focus in securities enforcement litigation this week. French oil and gas giant Total paid the DOJ and the SEC $398 million to settle FCPA charges, the fourth largest sum paid in settlement of... Read More

Securities Litigation Update For Aug. 9 – 30, 2013: Recent Outage At NASDAQ Focus Of Regulators
Posted on 30 Aug 2013 by Thomas O. Gorman

The recent outage at NASDAQ, the latest difficulty at an exchange, is a current focus of regulators. The SEC is investigating, reportedly examining the reasons a system for distributing stock quotes and prices was not adequate, according to a Reuters... Read More

The Week in Securities Litigation: SEC Files Another Reg FD Action
Posted on 15 Sep 2013 by Thomas O. Gorman

The recent NASDAQ outage was a key focus this week. The SEC held a meeting attended by the leaders of the securities and options exchanges, FINRA, DTCC and the Options Clearing Corporation. At its conclusion the SEC Chair gave the participants a homework... Read More

Securities Litigation This Week: Looming Scandal, SEC Actions, Criminal Cases
Posted on 19 Aug 2011 by Thomas O. Gorman

The SEC is about to become entangled in another scandal, according to reports in the New York Times this week. The latest involves the destruction of documents, according to press reports. The Supreme Court's ruling on what constitutes primary... Read More