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Supreme Court Unanimously Holds that SEC Disgorgement is Subject to Five Year Statute of Limitations

USA - June 9 2017 A unanimous Supreme Court held on June 5, 2017, that the SEC’s ability to recover funds through disgorgement is subject to a five-year statute of...

Kit Addleman, Jasmine Tobias.

SEC Office of Compliance Inspections and Examinations Announces Examination Priorities for 2017

USA - February 1 2017 The SEC’s Office of Compliance Inspections and Examinations recently announced its 2017 examination priorities for broker-dealers, investment advisers...

Kit Addleman, Carrington M. Giammittorio.

It’s the Thought that Counts: U.S. Supreme Court Pulls Back Newman’s Focus on Pecuniary Gain in Salman v. U.S.

USA - December 16 2016 On December 6th, the U.S. Supreme Court issued its much anticipated decision in Salman v. United States,1 the first insider trading case the high...

Carrington M. Giammittorio, Ronald W. Breaux.

SEC Targets Severance Agreements that Silence Whistleblowers

Ireland, USA - August 19 2016 Protecting and encouraging whistleblowers is a priority for the enforcement division of the U.S. Securities and Exchange Commission ("SEC") as well as...

Kit Addleman, Phong Tran.

Supreme Court Issues Important Ruling on Standing in Class Action and Data Breach Cases

USA - May 20 2016 Plaintiffs frequently bring class action claims for alleged statutory violations for which Congress has provided private rights of action and...

William Marsh, Daniel H. Gold.