Recent opinion tightens SEC’s FCPA grip over foreign nationals *

USA - February 18 2013
A judge in the Southern District of New York denied three Hungarian nationals' motion to dismiss charges brought by the Securities and Exchange…

Co-authors: Adam Tyler.

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Proposed stronger enforcement of Civil Penalties Act seeks to bolster SEC’s enforcement power *

USA - July 27 2012
A bipartisan bill was introduced in the Senate that would significantly increase the monetary amounts that the SEC can seek in cases involving tier three penalties and expand its authority to seek the increased penalties in administrative proceedings.

Co-authors: David Klaudt.

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Fifth Circuit requirement that securities plaintiffs prove loss causation at class certification stage overruled *

USA - June 7 2011
In a unanimous decision in Erica P. John Fund, Inc. v. Halliburton Co., No. 09-1403 (Decided June 6, 2011), the Supreme Court held that plaintiffs in securities class actions do not need to prove loss causation in order to obtain class certification.

Co-authors: Jeffrey M. Benton, David Klaudt.

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SEC executes first non-prosecution agreement *

USA - December 21 2010
This week, the Securities and Exchange Commission (SEC) announced that it entered into its first ever non-prosecution agreement.

Co-authors: Jeffrey M. Benton, Kiprian Mendrygal, Paul E. Coggins.

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SEC announces new cooperation initiative *

USA - January 22 2010
On January 13, 2010, the SEC announced new provisions to encourage individuals and business organizations to cooperate in SEC investigations.

Co-authors: Jeffrey M. Benton, Kiprian Mendrygal, Paul E. Coggins.

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