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Signs, Signs, Everywhere a Sign: Changes in Store for SEC Enforcement under the Trump Administration

USA - March 6 2017 Even before President Trump’s nomination of Jay Clayton as the next Chairman of the Securities and Exchange Commission (“SEC” or “Commission”), signs...

Anne Tompkins, Joseph V. Moreno, J. Robert Duncan, Scott Cammarn, Jodi L. Avergun, Bret A. Campbell, Nihal S. Patel.

The Tenth Circuit Rules SEC Administrative Judges Are Unconstitutional, Setting Up Potential Supreme Court Review

USA - January 11 2017 The constitutionality of the SEC’s in-house administrative proceedings is in doubt following the 10th Circuit Court of Appeals’ ruling in Bandimere v...

Kendra Wharton, Jodi L. Avergun.

The Supreme Court Restores Implied Benefit Theory in Insider Trading Prosecutions of Downstream Tippees

USA - December 8 2016 Friends and relatives of corporate insiders who knowingly receive and trade on inside information now confront greater exposure for federal securities...

Joseph V. Moreno, Alexander Hokenson, Jodi L. Avergun, Jason M. Halper.

Supreme Court Justices Appear Hesitant to Narrow the Scope of Insider Trading Liability

USA - October 7 2016 Since the Second Circuit Court of Appeals’ December 2014 decision in United States v. Newman, the government’s ability to aggressively pursue insider...

Joseph V. Moreno, Alexander Hokenson, Jodi L. Avergun, Emily J. Rockwood.

The SEC Retains its House Advantage During Administrative Proceedings

USA - August 5 2016 Amendments to the Rules of Practice Do Little to Address Criticism that the Deck is Stacked...

Joseph V. Moreno, Lex Urban, Martin L. Seidel, Jodi L. Avergun, Emily J. Rockwood.