Articles: 1-10 of 290
Court Upholds SEC’s Victory in “Shadow Trading” Case
USA - September 10 2024 A federal court in California refused to grant a judgment or a new trial to a defendant who was found to have engaged in insider trading when he…
Missouri Court Enjoins Missouri’s Anti-ESG Rules for Financial Advisers
USA - August 15 2024 A federal district court in Missouri recently enjoined Missouri Securities Division rules that require financial firms and professionals to obtain…
Supreme Court Bars SEC Administrative Proceedings for Civil Penalties
USA - June 27 2024 The U.S. Supreme Court held that the Seventh Amendment to the U.S. Constitution entitles a defendant to a jury trial when the Securities and Exchange…
Eleventh Circuit Invalidates Contest Providing Venture-Capital Funding for Black Women
USA - June 3 2024 The U.S. Court of Appeals for the Eleventh Circuit held that a contest providing venture-capital funding only to Black female applicants is…
Ohio Federal Court Holds White Litigant Lacked Standing to Challenge Contest Providing Funding for Black-Owned Businesses
USA - May 31 2024 A federal District Court in Ohio recently ruled that a white litigant did not have standing to assert a discrimination claim against a contest that…
Supreme Court Holds That Securities Fraud Statute Does Not Proscribe Pure Omissions
USA - April 15 2024 The U.S. Supreme Court recently held that the anti-fraud provision of the Securities Exchange Act does not prohibit “pure omissions,” but only false…
SEC Wins Insider-Trading Suit Alleging “Shadow Trading”
USA - April 6 2024 A federal jury in California agreed with the SEC that a corporate official engaged in insider trading when he purchased securities of a company based…
Eleventh Circuit Affirms Injunction Against Florida Statute Concerning Mandatory Diversity Training
USA - March 5 2024 The U.S. Court of Appeals for the Eleventh Circuit affirmed an injunction against enforcement of portions of Florida’s “anti-woke” law, which…
Fifth Circuit Orders En Banc Rehearing of Rejected Challenge to Nasdaq’s Board-Diversity Rules
USA - February 20 2024 Well - this took four months. The U.S. Court of Appeals for the Fifth Circuit ordered en banc rehearing of an unsuccessful challenge to the…
Missouri Court Denies Dismissal of SIFMA Challenge to Missouri’s Anti-ESG Rules for Financial Advisers
USA - January 8 2024 A federal district court in Missouri recently denied a motion to dismiss the Securities Industry and Financial Markets Association’s (“SIFMA’s”)…
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