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Robare v. SEC: the D.C. Circuit “may” have punted on key disclosure question, but takes clear stand on “willful” conduct

USA - May 14 2019 On April 30, 2019, the U.S. Court of Appeals for the D.C. Circuit issued a long-awaited decision in Robare Group, Ltd. V. SEC, providing valuable...

Megan McFadden, Eva Ciko Carman, Jason E. Brown, Joel A. Wattenbarger, Daniel V. McCaughey, Alyssa Clough Horton.

SEC Scrutinizes Sale of Mortgage Interests Among Affiliated Funds

USA - April 2 2019 The sale of mortgage assets between investment vehicles managed by the same adviser has come under scrutiny by the Securities and Exchange Commission...

Daniel V. Ward, Caitlin Giaimo, Eva Ciko Carman, Jason E. Brown, Joel A. Wattenbarger, Christopher P. Conniff.

Supreme Court Expands Scope of Liability for Securities Fraud

USA - March 29 2019 On March 27, 2019, the U.S. Supreme Court issued a 6-2 decision in Lorenzo v. SEC holding that an individual who is not a "maker" of a misstatement...

David.B Hennes, Daniel V. Ward, Martin J. Crisp, Douglas Hallward-Driemeier, Peter L. Welsh.

Massachusetts Crackdown Reflects Increased State Regulation of ICOs

USA - April 13 2018 On March 27, 2018, the top securities regulator in Massachusetts issued consent orders halting five initial coin offerings including projects that...

Helen Gugel, Jessica F. Soricelli, Christopher P. Conniff.

SEC announces a maximum whistleblower award to an employee who faced employment retaliation as a consequence of reporting Dodd-Frank Act violations to the Commission

USA - May 1 2015 In June of last year, Paradigm Capital Management agreed to pay the SEC nearly $2 million to settle allegations that it violated the Dodd-Frank Act’s...

Aaron Katz.