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Results: 1-10 of 221

SDNY Prosecutors Score First Post-Newman Insider Trading Conviction
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • August 17 2016

On August 17, 2016, jurors in a New York federal court convicted Sean Stewarton criminal charges of conspiracy, securities fraud, and tender offer


New Jersey Appellate Court Clarifies Definition of Compensation under Advisers Act
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • August 16 2016

On August 12, 2016, the United States Court of Appeals for the Third Circuit affirmed the decision of the District Court of New Jersey and held in


CFTC Announces Actions Addressing Application of the Dodd-Frank Act to Cross-Border Transactions
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • August 15 2016

On August 4, 2016, the U.S. Commodity Futures Trading Commission (CFTC) announced two separate actions relating to the application of the Dodd-Frank


ALJs are A-OK: D.C. Circuit Upholds Constitutionality of SEC In-House Courts
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • August 12 2016

In several recent decisions we have covered (here and here), Federal Circuit Courts have unanimously ruled that respondents in an SEC enforcement


It’s Not Easy Being Green: LeapFrog Execs Dodge Class-Action Over Sales Projections
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • August 9 2016

On August 2, 2016, U.S. District Judge Edward Chen dismissed a shareholder lawsuit brought against children’s educational toymaker LeapFrog


Insurer Denies Coverage for Regulatory Investigations at Its Own Risk and Gives Up Right to Consent to Settlement
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • August 8 2016

A New York trial court recently recognized that insurers may not deny coverage for a claim, and then, if the denial was improper, object to a


Eleventh Circuit Joins Peers in Preserving SEC’s Home Court Advantage
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • June 22 2016

After four failed attempts at persuading federal appellate courts to hear constitutional challenges to SEC administrative courts, it is increasingly


Second Circuit Halts Constitutional Challenge to SEC Administrative Proceedings
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • June 3 2016

On June 1, the Second Circuit in Tilton et al. V. SEC, No. 15-2103 (2d. Cir. Jun. 1, 2016), echoed recent Seventh and D.C. Circuit decisions


The SEC Critiques Itself - Could Changes to SEC Enforcement Investigations Be On The Way?
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • June 1 2016

Last week, the SEC’s Office of Inspector General (“OIG”) released its Semiannual Report to Congress, which details the OIG’s independent and


Pro-Golfer Phil Mickelson Pays $1M to SEC to Settle Civil Insider Trading Claims, But Escapes Criminal Charges in Light of Newman
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • May 26 2016

On Thursday, May 19, 2016, the U.S. Attorney’s Office for the Southern District of New York announced the arrest of renowned sports bettor William