In the SDNY, hindsight is no substitute for red flags when alleging scienter *

USA - April 16 2013
On April 8, 2013, Judge Shira A. Scheindlin of the Southern District of New York granted auditor Deloitte Touche Tohmatsu CPA's ("DTTC") motion to…

Co-authors: Christine M. Louie, Danielle P. Van Wert .

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President Barack Obama’s win also a win for the SEC and the CFTC *

USA - November 13 2012
The U.S. Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) can breathe a little easier after President Barak Obama’s re-election on Tuesday, November 6, 2012, according to legal scholars and attorneys.

Co-authors: Lindsay Pennington, Kristen Bartlett.

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CFTC tightens hold on swap participants *

USA - September 19 2012
On September 10, 2012, the CFTC issued rules mandating new record-keeping and registration requirements for swap dealers and major swap participants in the $700 trillion derivative global market.

Co-authors: M. Todd Scott, Suzette Pringle.

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New SEC rule requires securities exchanges and FINRA to work together to improve monitoring of trading activity in the U.S. *

USA - July 17 2012
On July 11, 2012, the Securities and Exchange Commission (SEC) approved a new rule, which will require the national securities exchanges and self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA) to establish a marketwide consolidated audit trail

Co-authors: Christine M. Louie, Danielle P. Van Wert .

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SEC investigations and enforcement actions: a practical handbook for municipal securities issuers *

USA - March 29 2012
The Securities and Exchange Commission (“SEC”) is focusing on municipal bonds and their municipal issuers as never before.

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