Searching Content indexed under Corporate/Commercial Law by Claudius Sokenu ordered by Published Date Descending.
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Second Circuit Accepts Controversial "Inflation-Maintenance" Theory Of Securities Fraud Liability
In so-called "price maintenance" securities fraud cases, plaintiffs argue that a misrepresentation that does not cause a stock's price to rise can nevertheless be actionable under Section 10(b) of the Exchange Act.
United States
11 Oct 2016
Sokenu Authors Article On Constitutionality Of SEC Administrative Proceedings
The SEC's selective use of administrative proceedings (AP) for some, but not all, litigated enforcement actions has been the subject of significant public criticism in recent years.
United States
12 Sep 2016
Eighth Circuit Holds Presumption Of Reliance Rebutted Under Halliburton II And Reverses Class Certification In Securities Action
The Best Buy action involves three alleged misrepresentations—all of which related to one another and occurred within a few hours
United States
19 Apr 2016
How A Skilled Board Should Manage An Internal Investigation
With the recent uptick in global enforcement efforts, boards of directors are increasingly adept at managing internal investigations and navigating potential land mines...
United States
1 Apr 2015
SEC Settlement With Layne Christensen Raises New Questions On The Government’s Understanding Of The Business Nexus Element Of The FCPA
Last week the SEC settled charges against Layne Christensen for various violations of the FCPA.
United States
11 Nov 2014
Broken Windows: SEC Enforcement Reminds Officers, Directors And 5% Shareholders To Comply With Reporting Requirements
The SEC announced enforcement proceedings against officers, directors and major shareholders and publicly-traded companies for violations related to beneficial ownership filings.
United States
10 Oct 2014
Securities Enforcement 2014 Mid-Year Review
While not nearly as transformative and dramatic as the first half of 2013, the first six months of 2014 was just as busy and productive.
United States
6 Aug 2014
SEC Enforcement Year In Review - 2013
Marked by leadership changes, high-profile trials, and shifting priorities, 2013 was a turning point for the Enforcement Division of the Securities and Exchange Commission.
United States
17 Feb 2014
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