Litigation

Recent Posts

SEC Prevails In Lawsuit Challenging Conflict Mineral Rules
Posted on 22 Aug 2013 by Thomas O. Gorman

The Commission prevailed in a dispute challenging its conflict minerals rules brought by business groups, a seemingly rare event in view of recent rulings against the agency by the D.C. Circuit on such issues. The rules were those enacted under Section... Read More

Tags: Thomas Gorman , SEC Actions , securities litigation , Dodd-Frank Act , National Association of Manufacturers v. SEC , SEC , Litigation , Exchange Act , Securities

The Week in Securities Litigation: Criminal Charges Filed For Financial Fraud, SEC Actions
Posted on 1 Oct 2011 by Thomas O. Gorman

Current market volatility was addressed this week when the Commission announced that the exchanges and FINRA would be filing updated circuit breaker rules. In addition, the staff issued an Alert regarding the use of sub-accounts in market manipulations... Read More

Tags: Supreme Court , Janus , Carter Inc. , Thomas Gorman , SEC Actions , Securities Act , securities litigation , SEC , Litigation , Exchange Act , Securities

Alcantel-Lucent Settles FCPA Cases
Posted on 5 Jan 2011 by Thomas O. Gorman

The Department of Justice and the SEC settled FCPA cases with Alcantel-Lucent S.A., a company formed in a November 30, 2006 merger involving Paris, France based Alcantel, S.A. and U.S. based Lucent Technologies, Inc. U.S. v. Alcatel-Lucent S.A. , (S.D... Read More

Tags: FCPA compliance , Thomas Gorman , Acatel , Alcantel-Lucent , SEC , Litigation , lawsuit , Exchange Act , FCPA