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Article

Dorsey & Whitney LLP | USA | 20 Aug 2014

SEC request for O&D bar denied

A frequently used remedy in Commission enforcement actions is the officer and director bar. A permanent bar has the very harsh effect of precluding

Article

Dorsey & Whitney LLP | USA | 11 May 2014

Second Circuit rejects the “listing theory” under Morrison

At the end of last month the Second Circuit clarified its position on the application of Morrison v. National Australia Bank Ltd., 130 S. Ct. 2869

Article

Dorsey & Whitney LLP | USA | 4 May 2014

Morrison, RICO and extraterritorial reach

In the wake of Morrison v. National Australia Bank Ltd., 130 S. Ct. 2869 (2010), a critical question has been whether a statute has extraterritorial

Article

Dorsey & Whitney LLP | USA | 16 May 2013

SEC officer director bars: by what standard?

Sometimes it can be difficult to determine if you actually won. This may be the case for the SEC with the Second Circuit's ruling in SEC v. Bankosky

Article

Dorsey & Whitney LLP | USA | 4 Feb 2013

The accessibility of reports prepared under SEC consent decrees

Reports prepared by a special consultant are frequently part of the remedies included in an SEC consent decree. The purpose of the report is

Article

Dorsey & Whitney LLP | USA | 1 Nov 2011

DC Circuit affirms remedies awared to SEC

The D.C. Circuit rejected challenges to a disgorgement order which used a zero basis for stock rather than a market quote for the share price and which imposed joint and several liability for the full amount on a defendant who claimed to have transferred a portion of the funds to others.

Article

Dorsey & Whitney LLP | USA | 18 Oct 2011

Disgorgement and the Fifth Amendment in SEC actions

Disgorgement and the impact of the Fifth Amendment are issues which reoccur in SEC enforcement actions.

Article

Dorsey & Whitney LLP | USA | 2 Aug 2011

The SEC wins reversal in the Second Circuit

The SEC prevailed in the Second Circuit Court of Appeals, securing the reversal of an order dismissing its claims against the portfolio manager of a mutual fund and the chief operating officer of the fund’s investment adviser.

Article

Dorsey & Whitney LLP | USA | 26 Jul 2011

SEC’s proxy access rule is vacated by DC circuit

The Commission’s new “proxy access” Rule was vacated by the Circuit Court of the District of Columbia for failing to comply with the Administrative Procedure Act or APA.

Article

Dorsey & Whitney LLP | USA | 28 Feb 2011

SEC enforcement trends 2011: insider trading

Insider trading has long been an enforcement priority.

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