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Court approves prosecution where government hid criminal investigation to get evidence from defendant in civil investigation
- Porter Wright Morris & Arthur LLP
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- USA
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- April 18 2008
An SEC investigation is supposedly civil in nature, but a new federal appellate court decision says the government can secretly use an SEC investigation as a de facto criminal investigation if the SEC uses no deception and makes no affirmative misrepresentations that an investigation is exclusively civil in nature
Mark Cuban insider trading case
- Porter Wright Morris & Arthur LLP
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- USA
- -
- May 28 2009
On Tuesday Dallas Mavericks owner Mark Cuban had his first hearing in an insider trading case brought by the SEC
SEC Inspector General report finds lack of impartiality
- Porter Wright Morris & Arthur LLP
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- USA
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- September 30 2009
Recently the SEC’s Inspector General reported on recommendations to the Commission’s Enforcement Division to improve enforcement in direct response to the Bernie Madoff scandal
The FCPA: two new record settlements serve as a reminder to carefully monitor practices
- Porter Wright Morris & Arthur LLP
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- USA
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- February 19 2009
The renewed emphasis on enforcement of the Foreign Corrupt Practices Act (FCPA or the Act) by the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ) recently resulted in two record-breaking settlements a warning that should be heeded by all companies doing business abroad
SEC surprise exams of investment advisers
- Porter Wright Morris & Arthur LLP
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- USA
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- May 19 2009
The SEC is considering rule amendments that would make it harder for an investment adviser to steal client assets and provide fake account statements
The Supreme Court levels the playing field In Securities Fraud Suits for Defendants
- Porter Wright Morris & Arthur LLP
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- USA
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- July 6 2007
The Supreme Court’s June 21, 2007 decision in Tellabs, Inc. v. Makor Issues & Rights, Ltd. is critically important to public companies and their directors and officers
A renewed area of emphasis for the SEC & DOJ: Foreign Corrupt Practices Act enforcement
- Porter Wright Morris & Arthur LLP
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- USA
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- March 10 2008
There is renewed emphasis on enforcement of the Foreign Corrupt Practice Act (FCPA or the Act) by the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ or Justice
Congressional insider trading
- Porter Wright Morris & Arthur LLP
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- USA
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- June 30 2009
On Friday the Cleveland Plain Dealer reported that members of the U.S. House Financial Services Committee bought and sold financial stocks last fall, at the same time that the Committee was approving the bailout, and in the same companies that the Committee would later criticize for incompetence and greed
Supreme Court rejects third-party securities liability
- Porter Wright Morris & Arthur LLP
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- USA
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- January 18 2008
Earlier this week the U.S. Supreme Court ruled in Stoneridge Investment Partners, LLC v. Scientific-Atlanta, Inc. that stockholders cannot sue third parties that participate in a securities fraud scheme because the stockholders have not directly relied on the advice of the third parties
More efficient oversight of insider trading
- Porter Wright Morris & Arthur LLP
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- USA
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- August 14 2008
The major U.S. securities exchanges and self-regulatory organizations have agreed to consolidate oversight of insider trading in the hands of two regulators: NYSE Regulation and FINRA
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- Jurisdiction - USA
- Workarea - Capital Markets
- Workarea - White Collar Crime
- Firm Name - Porter Wright Morris & Arthur LLP
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