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Results: 1-10 of 16,253

Does Dodd-Frank protect whistleblowers who don’t report to SEC? Another court chooses sides in the debate
  • Zuckerman Spaeder LLP
  • USA
  • June 5 2014

In 2010, Congress passed the Dodd-Frank Act, strengthening legal protections for employees who report violations of the securities laws. However, as


US judicial developments
  • DLA Piper LLP
  • USA
  • June 6 2013

The US Court of Appeals for the Seventh Circuit enforced CFTC subpoenas served on a precious metal wholesaler, precious metal dealer and precious


Belated vindication for the SEC’s (prior) settlement policy
  • Barnes & Thornburg LLP
  • USA
  • June 6 2014

In late 2011, Judge Jed Rakoff sent shockwaves through the securities enforcement bar and the SEC when he refused to approve the Commission's


SEC files another offering fraud action
  • Dorsey & Whitney LLP
  • USA
  • June 5 2013

Offering frauds continue to be the focus of the SEC Enforcement Division. Echoing claims from other recent cases, such as In the Matter of Scuderi


SEC charges five co-conspirators in reverse merger scheme
  • Katten Muchin Rosenman LLP
  • USA
  • May 9 2014

On May 5, the Securities and Exchange Commission brought charges in the USDistrict Court for the District of New Jersey against a Toronto-based


How valuable are confidential witnesses to class action complaints?
  • McGuireWoods LLP
  • USA
  • May 8 2014

Securities class actions are interesting for many reasons. They involve large stakes, and so they also attract outsized personalities. They are also


SEC reversed again by the D.C. Circuit
  • Dorsey & Whitney LLP
  • USA
  • June 13 2013

The SEC lost another case in the D.C. Circuit Court of Appeals. This time, however, it did not involve rule making. Rather, the action focused on the


SEC charges investment adviser with Custody Rule violations
  • Katten Muchin Rosenman LLP
  • USA
  • May 9 2014

The Securities and Exchange Commission recently announced that it had charged Professional Investment Management, Inc. (PIM), an investment adviser


New York Court declines to find extraterritorial reach of Dodd-Frank whistleblower protection
  • Ogletree Deakins
  • USA
  • November 1 2013

Liu v. Siemens A.G., No. 13-CV-317(WHP) (S.D.N.Y. Oct. 21, 2013) (Pauley, J.): Judge William H. Pauley III dismissed a retaliation claim under the


The SEC’s new financial fraud task force: Part V, significant cases following the speech using multiple improper techniques
  • Dorsey & Whitney LLP
  • USA
  • August 19 2013

This is the fifth in a series of articles examining the creation of the Financial Reporting and Audit Task Force along with a Center for Risk and