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Recent Legislation Expands SEC’s Ability to Pursue Disgorgement

USA - January 8 2021 On January 1, 2021, Congress made several important changes to the US Securities laws that will impact the Securities and Exchange Commission's…

Charles D. Riely, Grace C. Signorelli-Cassady, Howard S. Suskin, Philip B. Sailer.

Two Circuits Hold Statute of Limitations Does Not Apply To SEC Employment, Officer, and Director Bars

USA - November 11 2020 On November 6, 2020, the Court of Appeals for the DC Circuit held that Kokesh v. SEC, 137 S. Ct. 1635 (2017)--in which the court applied the five-year…

Adam G. Unikowsky, Howard S. Suskin, Sarah A. Youngblood.

Not Just About Tax Returns: The Supreme Court Clarifies Congressional Subpoena Power—and Its Limitations

USA - July 10 2020 When a company finds itself in receipt of a congressional subpoena, it may wonder whether Congress had authority to issue that subpoena. Yesterday…

Caroline C. Cease, Emily M. Loeb.

Practical Implications of Supreme Court's Decision Related to SEC's Disgorgement Remedy

USA - June 30 2020 Disgorgement is the remedy the US Securities and Exchange Commission (SEC) has traditionally used to obtain alleged illicit gains in enforcement…

Charles D. Riely, Gayle E. Littleton, Grace C. Signorelli-Cassady, Howard S. Suskin, Philip B. Sailer.

New COVID-19 Securities Developments: Class Action Omissions Theory and SEC Enforcement Actions

USA - April 29 2020 The COVID-19 pandemic has presented publicly held companies and their officers and directors with a number of legal, business and operational issues…

Howard S. Suskin, Katherine M. Funderburg, Paul B. Rietema.