Securities

Recent Posts

This Week in Securities Litigation (Week ending July 17, 2015)
Posted on 17 Jul 2015 by Thomas O. Gorman

The U.S. Chamber of Commerce published a report containing a series of recommendations regarding the SEC’s Enforcement program. Several recommendations focused on the use of administrative proceedings, including one which would permit a Respondent... Read More

IR Executive Settles SEC Reg FD Charge While Cooperation Wins Company a Declination
Posted on 10 Sep 2013 by Thomas O. Gorman

The SEC filed a settled administrative proceeding charging a former head of investor relations with violating Regulation FD. The Commission elected not to charge the company, however, based on its culture of compliance and cooperation. In the Matter of... Read More

This Week In Securities Litigation (Week ending September 5, 2014)
Posted on 5 Sep 2014 by Doug Esten

The Commission prevailed on summary judgment in an action against a broker which alleged he misappropriated client funds. The agency also filed actions centered on: an audit failure; the EB-5 immigration program; undisclosed conflicts; a failure to have... Read More

  • Blog Post: This Week in Securities Litigation (Week ending July 17, 2015)

    The U.S. Chamber of Commerce published a report containing a series of recommendations regarding the SEC’s Enforcement program. Several recommendations focused on the use of administrative proceedings, including one which would permit a Respondent seeking a jury trial to essentially opt out of...