The focus this week in securities enforcement continues to be SAC Capital. The firmâs owner received a grand jury subpoena in the on-going criminal and civil insider trading investigations being co
Originally Published: Legal Blogs
The SEC brought another action against a City for inadequate disclosure in connection with a municipal bond offering. In the Matter of the City of South Miami, Florida, Adm. Proc. File No. 3-15329 (
Originally Published: Legal Blogs
New SEC Chair Mary Jo White many well be facing an early test of her leadership. The battle ground could be money market reform. The stakes are high â the SEC could find itself becoming less than r
Originally Published: Legal Blogs
The Supreme Court agreed to hear a significant case concerning the coverage of the Sarbanes-Oxley whistleblower provisions. The central issue to be determined is whether an employee of a privately he
Originally Published: Legal Blogs
While the SEC Chair is battling Congress to secure a budget which approaches $2 billion the number of cases being brought by the enforcement program is dwindling. Regardless of what budget Congress a
Originally Published: Legal Blogs
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 b
Originally Published: Legal Blogs
Sometimes it can be difficult to determine if you actually won. This may be the case for the SEC with the Second Circuitâs ruling in SEC v. Bankosky, Docket No. 12-2943-cv (Decided May 14, 2013).
Originally Published: Legal Blogs
...of Enforcement; Catherine Razzano, Assistant General Counsel, General Dynamics Corporation; Steve Siegal, Senior Counsel, Northrop Grumman Corporation; Ryan Ong, President, U.S. China Business Counsel...
Originally Published: Legal Blogs
The Commission has filed a series of actions against China based issuers. Some have centered on financial fraud and misrepresentation claims such as SEC v. SinoTechEnergy Ltd., Civil Action No. 212-
Originally Published: Legal Blogs
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