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Searching Content by Daniel McCaughey ordered by Published Date Descending.
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Robare V. SEC: The D.C. Circuit "May" Have Punted On Key Disclosure Question, But Takes Clear Stand On "Willful" Conduct
On April 30, 2019, the U.S. Court of Appeals for the D.C. Circuit issued a long-awaited decision in Robare Group, LTD. v. SEC, providing valuable insight for investment ...
United States
29 May 2019
2
Justices Skeptical Of SEC Disgorgement Without Time Limits
The SEC contends that disgorgement is not designed to punish, but instead serves to prevent a defendant from becoming unjustly enriched by violating the federal securities laws.
United States
26 Apr 2017
3
Supreme Court To Decide Whether SEC Claims For Disgorgement Are Subject To Any Statute Of Limitations
The Supreme Court recently granted certiorari to review whether civil enforcement claims brought by the SEC for the remedy of disgorgement are subject to any statute of limitations, or . . .
United States
25 Jan 2017
4
Admitting Guilt: The SECís New Settlement Policy
On June 18, 2013, Securities and Exchange Commission Chair Mary Jo White announced that the SEC will require certain respondents to admit wrongdoing as a condition of settling enforcement cases brought by the Commission.
United States
9 Sep 2013
5
Federal Court Decision Highlights Uncertainty over Mutual Fund Derivative Litigation Under Massachusetts Law
Like any issuer of securities, mutual funds are subject to various types of lawsuits brought on behalf of shareholders, seeking recovery for underperformance, the allocation of fees, or other types of perceived losses to investors.
United States
6 Jan 2011
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