Searching Content by Michael Mugmon ordered by Published Date Descending.
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DOJ Announces Revisions To Policy On Corporate Cooperation
In a November 29, 2018 speech,1 Deputy Attorney General Rod Rosenstein announced a softening of the US Department of Justice's (DOJ) policy on giving credit for cooperation in corporate prosecutions.
United States
11 Dec 2018
DOJ Tells Tech Companies To Develop "Responsible Encryption"
Second, the private sector must work cooperatively with law enforcement agencies on emerging security issues.
United States
6 Dec 2018
Energy Sector Alert Series: Climate Change Disclosures In 2016
The Securities and Exchange Commission (SEC) published "Commission Guidance Regarding Disclosure Related to Climate Change" on February 8, 2010.
United States
15 Feb 2016
Litigating With The SEC
The SEC has made clear that it welcomes the possibility of having more cases proceed to litigation and has the resources it needs to take hard cases to trial.<
United States
20 Jul 2015
‘‘We Intend To Resolve the Ambiguities’’: The SEC Issues Some Surprising Guidance On Fraud Liability In The Wake Of Janus
The Securities and Exchange Commission recently issued what could be its most consequential adjudicatory opinion in years.
United States
3 Feb 2015
Scalia’s Deference Argument Could Have Dramatic Effects
When the U.S. Supreme Court declines to review one of the thousands of cases presented to it each year, it typically does so in silence.
United States
19 Nov 2014
The Rise Of White Collar Wiretaps
Before the tenure of departing Attorney General Eric Holder, the use of wiretaps was generally relegated, as if by gentlemen's agreement, to narcotics and organized crime cases.
United States
14 Nov 2014
SEC Enforcement Actions Emphasize Importance Of Stock Ownership Reporting Obligations For Public Companies And Insiders
On September 10, 2014, the Securities and Exchange Commission (SEC) announced charges against 28 officers, directors and major stockholders of public companies for violating Section 16(a) and/or Section 13(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act).
United States
9 Oct 2014
Some Prefer Litigation When The SEC Calls
Securities and Exchange Commission Chair Mary Jo White's commitment to enforce securities violations like a cop on the beat seems certain to lead to more litigation, requiring a vigorous defense from the outset for individuals and companies faced with an SEC investigation.
United States
22 Apr 2014
Supreme Court Issues Decision Analyzing Whether Misrepresentation Is "In Connection With" Purchase Or Sale Of Covered Security
Summary: The United States Supreme Court issued a significant ruling that may present challenges to the Securities and Exchange Commission in pursuing some federal securities fraud claims and may open up some defendants to costly state court class actions.
United States
13 Mar 2014
SB 538: Overhauled Anti-Securities Fraud Provision
Signed by Gov. Jerry Brown on Sept. 23, Senate Bill 538 overhauls the anti-fraud provision of the California Securities Law of 1968.
United States
25 Jan 2014
California Overhauls State Anti-Securities Fraud Statute
On September 23, 2013, Governor Jerry Brown signed into law Senate Bill 538—which overhauls the anti-fraud provision of the California Securities Law of 1968, and will likely make it more difficult for would-be plaintiffs to maintain lawsuits for securities fraud.
United States
4 Oct 2013
Meltdowns Crank Up Muni-Bond Litigation
Just in the last six months, the U.S. Securities and Exchange Commission has brought a series of groundbreaking cases alleging securities fraud by municipal bond issuers and public officials.
United States
27 Sep 2013
Recent Court Decisions Reveal Litigation Challenges For SEC
Although there are many factors to consider when deciding whether or not to litigate a case with the SEC, these recent decisions should give some encouragement to the SEC's opponents.
United States
15 Mar 2013
UPDATE: Lower Courts Interpret The Supreme Court's Decision In Janus Capital Group, Inc. v. First Derivative Traders
Last summer, the Supreme Court held in Janus Capital Group, Inc. v. First Derivative Traders, Inc. that a defendant may only be held be liable for securities fraud in a private action brought under Rule 10b-5(b) of the Securities Exchange Act of 1934 if it was the "maker" of a misstatement.
United States
12 Apr 2012
Supreme Court Curtails Ability Of Plaintiffs To Hold Secondary Actors Liable In Private Securities Fraud Actions
On June 13, 2011, mutual fund companies and "secondary actors" in the securities markets scored a major victory when the US Supreme Court ruled that aggrieved shareholders may seek relief under the securities laws only from the party with "ultimate authority" over a false statement.
United States
5 Jul 2011
Supreme Court Rejects Proving Loss Causation As A Requirement For Class Certification In Securities Fraud Class Actions
Last week, the Supreme Court handed a victory to securities class action plaintiffs for the second time this term by rejecting the United States Court of Appeals for the Fifth Circuit's unique requirement that securities plaintiffs must demonstrate "loss causation"—i.e., the causal link between an alleged securities fraud and plaintiffs' losses—as a predicate to class certification.
United States
20 Jun 2011
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