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SEC Holds Kokesh Does Not Impact FINRA Industry Bar

USA - August 28 2019 On August 23, 2019, the Securities and Exchange Commission (SEC or Commission) held in In re John M.E. Saad that the US Supreme Court’s decision in...

Benjamin Neaderland, Matthew T. Martens, Jessica Notebaert, Leila Ameli-Grillon, Paul R. Eckert, Christopher Davies.

Final Decision in Lorenzo v. SEC

USA - March 28 2019 The Supreme Court yesterday took a significant step to expand the universe of actors who can be held liable for a false statement under the federal...

Matthew T. Martens, Elizabeth Mitchell, Christopher Davies.

Supreme Court Rules SEC ALJs Are Officers, Subject to the Appointments Clause

USA - June 22 2018 On June 21, 2018, the Supreme Court issued its decision in Lucia v. SEC, Slip Op. No. 17-130. Securities and Exchange Commission (SEC) administrative...

Matthew T. Martens, Elizabeth Mitchell, Christopher Davies.

Supreme Court Articulates Dodd-Frank Whistleblower Definition in Digital Realty Trust, Inc. v. Somers

USA - February 23 2018 On February 21, 2018, the Supreme Court held in Digital Realty Trust, Inc. v. Somers that the anti-retaliation whistleblower protections under the...

Matthew T. Martens, Elizabeth Mitchell, Robert Greffenius, Christopher Davies.

Litigating with and at the SEC

USA - May 6 2015 Last year, the Enforcement Division of the SEC announced its intention to bring more enforcement actions in its own administrative forum rather than...

Matthew T. Martens, John A. Valentine, Natalie Wray Rastin, Douglas J. Davison.