Lori Martin

SEC Enforcement Actions Reflect Expanding Focus On Advisers' Policies And Procedures To Prevent Misuse Of Material Nonpublic Information

Ongoing SEC Marketing Rule Enforcement Sweep Results In Charges Against Investment Advisers

Congress Amends Exchange Act, Expanding SEC Enforcement Power

Liu v. SEC: The U.S. Supreme Court Upholds The SEC's Power To Obtain Disgorgement In Civil Actions, But With Important Limitations

United States Court Of Appeals For The District Of Columbia Denies Petition For Mandamus Seeking To Protect Privilege When Company Shared Information Developed In Internal Investigations With Company Auditors

SEC Enforcement Alert: D.C. Circuit Rules Negligent Conduct Is Not "Willful"

UPDATE: Lower Courts Interpret The Supreme Court's Decision In Janus Capital Group, Inc. v. First Derivative Traders

Supreme Court Curtails Ability Of Plaintiffs To Hold Secondary Actors Liable In Private Securities Fraud Actions