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Results: 1-10 of 120

Study Shows Dramatic Rise in the SEC’s Use of its Administrative Court for Enforcement Actions
  • Greenberg Traurig LLP
  • USA
  • January 15 2016

The NYU Pollack Center for Law and Business and Cornerstone Research recently released a study entitled "SEC Enforcement Activity Against Public


First Circuit Offers Rebuke to SEC in Vacating Sanctions Order
  • Greenberg Traurig LLP
  • USA
  • December 24 2015

The U.S. Court of Appeals for the First Circuit recently overturned an order by the U.S. Securities and Exchange Commission (Commission) in which the


The door to constitutional challenges against SEC administrative proceedings may have just opened wider in the Northern District of GA
  • Greenberg Traurig LLP
  • USA
  • November 23 2015

Last week, in Ironridge Global IV, Ltd., et al. v. SEC, No. 15-cv-2512, U.S. District Court Judge Leigh Martin May issued her third well-reasoned


States challenge new SEC rules on small public offerings
  • Greenberg Traurig LLP
  • USA
  • October 21 2015

Two states - Massachusetts and Montana - have filed suit against the U.S. Securities and Exchange Commission (SEC), challenging the validity of the


A shift of emphasis at the DOJ the Yates Memo
  • Greenberg Traurig LLP
  • USA
  • October 14 2015

On September 15, 2015, Deputy Attorney General Yates issued a memo shifting the focus of federal prosecutorial efforts with respect to corporate


Uncertainty continues for the SEC’s conflict minerals reporting regime after D.C. Circuit confirms First Amendment violation
  • Greenberg Traurig LLP
  • USA
  • August 28 2015

On Aug. 18, 2015, a three-judge panel of the U.S. Court of Appeals for the D.C. Circuit in a 2-1 decision upheld its April 2014 ruling in National


U.S. Securities and Exchange Commission investigates Washington-based regional center
  • Greenberg Traurig LLP
  • USA
  • August 25 2015

The U.S. Securities and Exchange Commission (“SEC”) filed a civil fraud suit on August 24, 2015 against a Seattle developer, who had raised $125


Supreme Court issues guidance on disclosure of opinions in registration statements
  • Greenberg Traurig LLP
  • USA
  • March 26 2015

In a highly anticipated opinion issued earlier this week in Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund, 575 U.S


Georgia investment advisor launches Article II constitutional challenge to the SEC’s use of ALJs and seeks discovery
  • Greenberg Traurig LLP
  • USA
  • February 20 2015

Yesterday, Gray Financial Group, Inc. ("Gray"), an Atlanta based investment advisor and Greenberg Traurig client, and two of its officers filed a


Gaining whistleblower protection: engaging in activity protected by Dodd-Frank is not enough
  • Greenberg Traurig LLP
  • USA
  • November 19 2014

Earlier this month, a district court ruled that an employee simply engaging in activity protected by the Dodd-Frank Act's anti-retaliation provision