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SEC Continues to Target Private Equity Firms, Entering Into $52 Million Settlement with Apollo Global Management

USA - August 31 2016 On August 23, 2016, the SEC entered into a settlement that reflects a continuation of its recent trend of increasingly active pursuit of private...

Jason M. Halper, James Thompson.

Equity Trust Notches a Rare Defense Win in SEC Administrative Proceedings

USA - July 7 2016 On June 27, 2016, SEC Administrative Law Judge Carol Fox Foelak dismissed the Division of Enforcement’s charges against IRA custodian Equity Trust...

George E. Greer, Kevin M. Askew.

FINRA Issues Largest Fine Regarding Variable Annuities Contracts

USA - May 10 2016 On May 3, 2016, the Financial Industry Regulatory Authority announced that MetLife Securities, Inc. agreed to pay $25 million to settle allegations...

Paul F. Rugani, James Grohsgal.

Eighth Circuit Breathes Life Into Halliburton’s Price Impact Defense

USA - April 18 2016 The First Circuit Court of Appeals decision applying the Supreme Court’s landmark 2014 decision in Halliburton Co. v. Erica P. John Fund Inc., 134 S...

Jason M. Halper, Paul F. Rugani.

Second Circuit Applies Omnicare to Affirm Dismissal of Securities Fraud Actions

USA - March 15 2016 On March 4, 2016, the Second Circuit affirmed the dismissal of two related securities actions against Sanofi Pharmaceuticals, its predecessor Genzyme...

Danielle P. Van Wert, Charles J. Ha.