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Results: 1-10 of 105

SEC weighs in on Intercontinental Regional Center Trust of Chicago (IRCTC)
  • Greenberg Traurig LLP
  • USA
  • February 11 2013

On Wednesday, February 6, the U.S. Securities and Exchange Comission (SEC) brought a civil action alleging a myriad of SEC violations against A


United States district court judge denies intervention motion by expert witness McCann, finding that “he took a check, and he took an oath, but he was faithful to only one”
  • Greenberg Traurig LLP
  • USA
  • March 22 2012

Judge Lynn Hughes of the United States District Court for the Southern District of Texas denied the Motion by expert witness Craig McCann to intervene in vacatur proceedings involving 19 individualcorporate investors and brokerage firm Morgan Keegan, Morgan Keegan & Company, Inc. v. John J. Garrett, et al., U.S.D.C., S.D. Tex., Case No. 4:10-cv-04308


SEC issues its first whistleblower program award
  • Greenberg Traurig LLP
  • USA
  • August 23 2012

On August 21, 2012, the SEC announced its first whistleblower award payout of nearly $50,000 to a whistleblower who helped the agency halt a multi-million dollar fraud


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


Conflict minerals rule update: emergency motion filed for complete stay of SEC's conflict minerals rule
  • Greenberg Traurig LLP
  • USA
  • May 7 2014

As public companies struggle to craft disclosure in their first Form SD filings due May 31, 2014 (June 2, 2014) consistent with guidance (Guidance


SEC remains divided over conflict minerals rules; CorpFin issues guidance on compliance
  • Greenberg Traurig LLP
  • USA
  • April 30 2014

On April 29, 2014 Keith F. Higgins, the Director of the Division of Corporation Finance (CorpFin) at the Securities and Exchange Commission (SEC


D.C. District Court upholds SEC’s conflict minerals rules, GAO report questions effectiveness on humanitarian efforts
  • Greenberg Traurig LLP
  • USA
  • July 24 2013

On July 23, 2013, the U.S. District Court for the District of Columbia entered summary judgment in favor of the U.S. Securities and Exchange


Oregon flocks to fraud on the market
  • Greenberg Traurig LLP
  • USA
  • January 23 2013

In a recent decision, State v. Marsh & McLennan Companies, Inc., 2012 WL 6212518 (Or. Dec. 13, 2012), the Oregon Supreme Court gave birth to a state


Is the would-be arbitration claimant a brokerage firm “customer?” The Fourth Circuit says both “yes” and “no”
  • Greenberg Traurig LLP
  • USA
  • February 14 2013

It makes sense that a brokerage firm can only be forced to arbitrate claims by its customers for investment activity occurring at that brokerage firm


No broker-customer relationship absent a direct connection to investment-related services provided by the brokerage firm
  • Greenberg Traurig LLP
  • USA
  • August 14 2013

A Utah federal district court is the latest to join the chorus of opinions holding that a would-be arbitration claimant cannot proceed with a FINRA