Searching Content indexed under White Collar Crime, Anti-Corruption & Fraud by Douglas J. Davison ordered by Published Date Descending.
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Keeping Current: 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
8 Dec 2014
Should a Defendant Be Forced To Disgorge What He Never Possessed?
To the considerable arsenal of remedies already possessed by the Securities and Exchange Commission the U.S. Court of Appeals for the Second Circuit has recently added another: ..
United States
29 Apr 2014
Top Five SEC Enforcement Events In 2013
This article reviews a selection of the top five Securities and Exchange Commission Enforcement events of 2013.
United States
13 Mar 2014
Update: SEC's Financial Reporting And Audit Task Force
On February 11, Margaret McGuire, Vice Chair of the US Securities and Exchange Commission's (SEC) Financial Reporting and Audit Task Force (Task Force), participated in a DC Bar panel discussion to review the objectives, administration and early initiatives of the Task Force since its formation was announced by the SEC last July.
United States
20 Feb 2014
Update: "Tourre" Extends SECís Reach For Foreign Transactions Involving Domestic Offerings
A recent decision by Judge Katherine Forrest of the U.S. District Court for the Southern District of New York clarified the scope of the Securities and Exchange Commissionís ability to pursue fraud charges in foreign securities transactions involving domestic offerings.
United States
30 Jul 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
The Top 10 SEC Enforcement Events Of 2011
2011 was an eventful year for the Division of Enforcement at the U.S. Securities and Exchange Commission ("SEC"). Our assessment of the top ten SEC Enforcement events of 2011 is discussed below.
United States
18 Jan 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
SEC Approves Sweeping Whistleblower Bounty
On Wednesday, May 25, 2011, the Securities and Exchange Commission issued its long-awaited final rules implementing the "Securities Whistleblower Incentives and Protection" provisions of the Dodd-Frank Act.
United States
1 Jun 2011
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