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The blue sky is the limit for securities liability in Washington

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • August 20 2013

Many state securities laws, known as blue sky laws, are patterned after Section 12(a)(2) of the Securities Act of 1933. The interpretation of these

Time is money: Second Circuit vacates SEC’s $38 million fine against hedge fund Pentagon Capital Management

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • August 13 2013

On August 8, 2013, the Second Circuit vacated the SEC's $38 million fine against hedge fund Pentagon Capital Management PLC, holding that the Supreme

JP Morgan discloses investigation of MBS practices

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • August 12 2013

In its Form 10-Q filed with the SEC on August 7, JP Morgan Chase & Co. disclosed that it is responding to parallel criminal and civil investigations

SEC and DOJ file parallel civil suits alleging BofA defrauded RMBS investors

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • August 12 2013

On August 6, the SEC and the U.S. Department of Justice filed parallel civil suits against several Bank of America affiliates, alleging that the bank

Securities claim against UBS based on RMBS credit ratings allegations revived

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • July 29 2013

On July 22, Judge Denise Casper of the United States District Court for the District of Massachusetts permitted plaintiff Capital Ventures

Securities litigation trends in Q2 2013: what’s up (or should we say down)?

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • July 29 2013

The second quarter of 2013 saw the largest quarterly percentage decline in new securities actions since before the 20072008 financial crisis

Looking past the labels: bank’s disgorgement payment to SEC not necessarily excluded from D&O coverage

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • July 26 2013

In 2006, Bear Stearns agreed to a $250 million "neither admit nor deny" settlement with the SEC to settle charges that it facilitated late trading

Concerned about NSA snooping? Perhaps you should be more concerned about the DOJ and SEC

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • July 24 2013

In 2008, Rajat Gupta made a handful of short phone calls to his friend Raj Rajaratnam. The information that Gupta conveyed to Rajaratnam in those

SEC suit against Radius Capital, CEO dismissed in part as untimely

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • July 22 2013

On July 15, U.S. District Judge John Steele of the Middle District of Florida granted in part a motion to dismiss the SEC's claims against

Fifth Circuit defines "whistleblower" narrowly under Dodd-Frank

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • July 18 2013

On July 17, 2013, the Fifth Circuit issued the First Circuit court decision interpreting Dodd-Frank’s anti-retaliation provision