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Thomas Gorman
Peter S. Vogel
over 7 years ago
Consumer Protection & Privacy
Consumer Protection and Privacy Law Blog
Peter S. Vogel: SEC Declares Planning for Prevention and Detection of Cyber Intrusions is Essential!
By Peter S. Vogel In a recent speech SEC Chair Mary Jo White declared that while “cybersecurity attacks cannot be entirely eliminated, it is incumbent upon private fund advisers to employ robust, state-of-the-art plans to prevent, detect, and...
DLA Piper
over 7 years ago
Constitutional Law and Civil Rights
Constitutional Law and Civil Rights Law Blog
District Court Says Appointment of SEC Administrative Law Judge Was Likely Unconstitutional
By Courtney Gilligan Saleski , Jonathan W. Haray , and Mark A. Kasten In Hill v. Securities Exchange Commission , the United States District Court for the Northern District of Georgia, [subscribers can access an enhanced version of this opinion...
Daniel M. Kowalski
over 7 years ago
Immigration Law
News Headlines
SEC Granted TRO in Wa. EB-5 Regional Center Lawsuit: SEC v. Path America
Here is a link to a PDF combining the Complaint (pages 1-17) and the TRO (pages 18-27) issued Aug. 24, 2015 in SEC v. Path America, No. 2:15-cv-01350-JLR, W.D. Wa. Excerpts: "Since February 2012, defendants Lobsang Dargey; Path America, LLC; Path...
Daniel M. Kowalski
over 7 years ago
Immigration Law
News Headlines
SEC Says Oil Co. Targeted EB-5 Investors In $68M Scheme - Law360
Law360, Los Angeles (July 6, 2015, 10:24 PM ET) -- "The U.S. Securities and Exchange Commission on Monday accused a Bay Area oil and gas company and its CEO of running a $68 million "Ponzi-like" scheme that targeted the Chinese-American...
Daniel M. Kowalski
over 6 years ago
Immigration Law
News Headlines
SEC Case Freezes Assets of Ski Resort (Jay Peak) Steeped in Fraudulent EB-5 Offerings
SEC, Apr. 14, 2016 - "The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Vermont-based ski resort and related businesses allegedly misusing millions of dollars raised through investments solicited under...
Daniel M. Kowalski
over 7 years ago
Immigration Law
News Headlines
SEC Announces EB-5 Enforcement Actions
SEC, Dec. 7, 2015 - "The Securities and Exchange Commission today announced a series of enforcement actions against lawyers across the country charged with offering EB-5 investments while not registered to act as brokers."
Foley & Lardner LLP
over 8 years ago
Health Care
Health Care Law Blog
Foley & Lardner LLP: SEC's MCDC Initiative - The Clock is Ticking
By David Y. Bannard Not-for-profit health care providers that have borrowed on a tax-exempt basis within the last five years should be aware of the Securities and Exchange Commission’s (SEC) Municipalities Continuing Disclosure Cooperation (“MCDC”...
Norton Rose Fulbright
over 8 years ago
Energy
Energy Law Blog
Norton Rose Fulbright: D.C. Circuit Vacates Part Of Conflict Minerals Rule
By Marsha Z. Gerber , Cristina K. Lunders and Christian Menefee On April 14, 2014, a divided panel of the US Court of Appeals for the D.C. Circuit found unconstitutional one part of the disclosure requirements in the Securities and Exchange Commission's...
Norton Rose Fulbright
over 8 years ago
Energy
Energy Law Blog
Norton Rose Fulbright: SEC Issues New Conflict Minerals Guidance Post NAM
By Marsha Z. Gerber , Cristina K. Lunders and Christian Menefee On April 29, 2014, the Securities and Exchange Commission (the "SEC" or the "Commission") issued additional guidance (“April 29 Guidance”) on the Conflict...
Jordan D. Maglich
over 9 years ago
Virtual Currency
Virtual Currency Blog
SEC Alleges Texas Man Ran $4.5 Million Bitcoin Ponzi Scheme
The Securities and Exchange Commission has filed civil fraud charges against a Texas man, accusing him of masterminding a Ponzi scheme using the virtual currency known as Bitcoin that promised annual returns exceeding 300%. Trendon T. Shavers, 30, was...
Steven A. Meyerowitz
over 9 years ago
Financial Fraud Law
Financial Fraud Law Blog
Merrill Lynch Settles SEC Charges of Misleading CDO Investors, and Will Pay $131 Million
Merrill Lynch, charged by the Securities and Exchange Commission with making faulty disclosures about collateral selection for two collateralized debt obligations (CDO) that it structured and marketed to investors, and with maintaining inaccurate books...
Steven A. Meyerowitz
over 9 years ago
Financial Fraud Law
Financial Fraud Law Blog
Yes, We Admit It! We Now Have #3 in Financial Fraud Law
For decades, when a company agreed to settle financial fraud-related charges with the Securities and Exchange Commission, the company typically would pay a fine. Sometimes a large one. The company also typically would insist on a provision in the settlement...
Steven A. Meyerowitz
over 9 years ago
Financial Fraud Law
Financial Fraud Law Blog
Michael Osnato Becomes Chief of SEC Enforcement Division’s Complex Financial Instruments Unit
Michael J. Osnato, Jr., has been named chief of the Securities and Exchange Commission’s Enforcement Division unit that conducts investigations into complex financial instruments. Osnato, who joined the SEC staff in 2008 and who has served as...
Steven A. Meyerowitz
over 9 years ago
Financial Fraud Law
Financial Fraud Law Blog
KPMG Charged with Violating Auditor Independence Rules
The Securities and Exchange Commission has charged public accounting firm KPMG with violating rules that require auditors to remain independent from the public companies they are auditing to ensure they maintain their objectivity and impartiality. ...
Steven A. Meyerowitz
over 9 years ago
Financial Fraud Law
Financial Fraud Law Blog
Whistleblowers Received $14.8 Million from the SEC in 2013
Whistleblowers received $14,831,965 64 in payments from the Securities and Exchange Commission during fiscal year 2013. The SEC’s whistleblower program, now in its third year of operation, was designed to incentivize individuals to provide the...
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