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Searching Content indexed under Corporate Crime by Michael Mugmon ordered by Published Date Descending.
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‘‘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
2
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
3
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
4
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
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