Searching Content indexed under White Collar Crime, Anti-Corruption & Fraud by Ralph C. Ferrara ordered by Published Date Descending.
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Supreme Court Holds That Persons Who Do Not "Make" Misstatements Can Nevertheless Be Liable For Other Securities-Fraud Violations
The Supreme Court held today that persons who do not "make" material misstatements or omissions.
United States
9 Apr 2019
Second Circuit Again Holds That Tipper/Tippee Liability Can Arise From A Gift Of Inside Information Even Without A Close Personal Relationship
The Second Circuit confirmed this week that a "meaningfully close personal relationship" is not required for insider-trading liability where a tipper discloses inside information as a gift with the intent to benefit the tippee.
United States
5 Jul 2018
Supreme Court Holds That Securities-Law Statutes Of Repose Are Not Subject To Class-Action Tolling
The U.S. Supreme Court ruled today that the pendency of a securities class action does not allow individual class members to opt out of the class and file separate actions under the Securities Act of 1933...
United States
30 Jun 2017
D.C. Circuit Joins Seventh Circuit In Rejecting Court Challenges To Pending SEC Administrative Enforcement Proceedings
The U.S. Court of Appeals for the District of Columbia Circuit held today that federal District Courts do not have subject-matter jurisdiction to entertain challenges to ongoing SEC administrative enforcement proceedings.
United States
30 Sep 2015
Ninth Circuit Disagrees With Second Circuit On Personal-Benefit Requirement For Insider Trading
The U.S. Court of Appeals for the Ninth Circuit appears to have rebuffed aspects of the Second Circuit's recent effort to narrow liability for insider trading.
United States
7 Jul 2015
Proskauer Hedge Fund Seminar Recap: Fallout From The Second Circuit’s Insider-Trading Ruling
On Thursday, February 5, 2015, Ralph C . Ferrara, Robert J. Cleary and Jonathan E. Richman were invited to Proskauer’s Hedge Fund Breakfast Seminar to speak about the Second Circuit’s insider-trading ruling in Newman/Chaisson.
United States
11 Feb 2015
Third Circuit Defines "Extraterritorial" Applicability Of Federal Securities Laws In United States V. Georgiou
The U.S. Court of Appeals for the Third Circuit added its voice yesterday to the ongoing judicial effort to construe the U.S. Supreme Court's 2010 decision in Morrison v. National Australia Bank...
United States
22 Jan 2015
Second Circuit Clarifies Elements Of Tippee Liability For Insider Trading
The U.S. Court of Appeals for the Second Circuit recently clarified the elements required to hold a tippee liable for insider trading.
United States
13 Dec 2014
So Much For Bright-Line Tests On Extraterritorial Reach Of U.S. Securities Laws?
In its landmark 2010 decision in Morrison v. National Australia Bank, the Supreme Court articulated what seemed to be a bright-line test for determining the extent to which the U.S. securities laws apply to transactions with international elements.
United States
19 Aug 2014
Second Circuit Narrows Reach Of Federal Securities Laws As To Foreign Securities Transactions
The Second Circuit clarified the applicability of the anti-fraud provisions of the Securities Exchange Act of 1934 to transactions in foreign securities.
United States
12 May 2014
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