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Results: 1-10 of 67

SEC’s new policy requiring admissions of wrongdoing: implications for FCPA settlements?
  • Alston & Bird LLP
  • USA
  • August 30 2013

On August 19, 2013, the SEC entered into a settlement agreement with Phillip Falcone and his advisory firm, Harbinger Capital Partners, based on


Fifth Circuit affirms dismissal of complaint where alleged “corrective disclosure” was insufficient to establish loss causation
  • Alston & Bird LLP
  • USA
  • September 23 2008

The Fifth Circuit recently upheld the dismissal of a securities fraud class action due to the plaintiffs’ failure to plead the mandatory requirement of loss causation


Halliburton on remand defendants defeat certification for the vast majority of plaintiffs’ claims
  • Alston & Bird LLP
  • USA
  • July 31 2015

On July 25, 2015, the Honorable Barbara M. Lynn of the United States District Court for the Northern District of Texas entered the much anticipated


The Court of Appeals rules that Sarbanes-Oxley cannot revive time-barred claims
  • Alston & Bird LLP
  • USA
  • May 13 2008

The United States District Court for the Middle District of Alabama had previously held in Berman v. Blount Parrish & Co., Inc., 523 F. Supp. 2d 1298 (M.D. Ala. 2007), that Sarbanes-Oxley’s extension of the statute of limitations period for certain securities fraud claims cannot be used to revive already stale claims


How hedge funds and private equity firms can manage Foreign Corrupt Practices Act risks
  • Alston & Bird LLP
  • USA
  • March 27 2013

In recent years, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) have aggressively investigated and enforced both


Three former employees of direct access partners plead guilty to FCPA and related charges
  • Alston & Bird LLP
  • USA
  • September 9 2013

On August 30, the Justice Department announced that three former employees of a New York-based broker-dealer, Direct Access Partners (DAP), entered


SEC adopts Final Rules and guidance defining “security-based swap dealer” and “major security-based swap participant” in cross-border transactions
  • Alston & Bird LLP
  • USA
  • July 23 2014

On June 25, 2014, the Securities and Exchange Commission (SEC) adopted the first of a series of rules on cross-border security-based swap activities


Recent FCPA opinions provide insight into the scope of personal jurisdiction over foreign nationals
  • Alston & Bird LLP
  • USA
  • March 1 2013

In recent years, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) have demonstrated an increased commitment to


SEC announces charges against corporate insiders for violating reporting obligations under the Exchange Act
  • Alston & Bird LLP
  • USA
  • September 19 2014

On September 10, 2014, the Securities and Exchange Commission (SEC) announced charges against 28 officers, directors and major shareholders for


Where the Rubber meets the road: Goodyear Tire agrees to pay $16 million to settle FCPA claims
  • Alston & Bird LLP
  • USA
  • March 2 2015

On February 24, 2015, the Securities and Exchange Commission (SEC) announced that it had entered into a settlement with Goodyear Tire & Rubber Co. to