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Similar to class actions generally, exploring ethics issues in securities class action litigation (specifically fee-splitting), and how that affects settlement value for plaintiff investors
By therecorder | The Recorder | June 5, 2017
U.S. Sup. Ct.; 16–529 The Securities and Exchange Commission (SEC or Commission) possesses authority to investigate violations of federal securities…
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By Robert L. Hickok and Gay Parks Rainville | June 5, 2017
During its October term this year, the U.S. Supreme Court will hear argument in Leidos v. Indiana Public Retirement System, No. 16-581, on an important federal securities fraud issue: Whether a publicly held company's omission of "known trends and uncertainties" in its annual or interim reports, as required by Item 303 of Securities Exchange Commission (SEC) Regulation S-K, can give rise to a private securities fraud claim under Section 10(b) of the Securities Exchange Act of 1934 and SEC Rule 10b-5 (Rule 10-5).
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By Tony Mauro | June 5, 2017
A unanimous court ruled that the commission's disgorgement orders imposed on fraudsters amounted to a penalty and as such, must meet a five-year statute of limitations.
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By B. Colby Hamilton | June 2, 2017
A investor with the convicted fraudster Bernard L. Madoff was turned back in his argument that the withdrawal and re-investment of $7 million shouldn't be subject to the clawback action being pursued by the Securities Investor Protection Act-appointed trustee Irving Picard in a partial summary judgment order handed down by Southern District Bankruptcy Judge Stuart M. Bernstein on Thursday.
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By newyorklawjournal | New York Law Journal | May 26, 2017
Dodd-Frank Claim Over Firm's Accounting Practices Violating Sarbanes-Oxley Survives
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By Cogan Schneier | May 24, 2017
An en banc panel of the U.S. Court of Appeals for the D.C. Circuit must decide whether the way SEC administrative law judges are hired is unconstitutional.
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By Jenna Greene | May 19, 2017
It was a one-two punch for Simpson Thacher & Bartlett litigator Joseph McLaughlin, who racked up a pair of wins this week.
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By Mike Scarcella | May 19, 2017
Escape the daily flood of Trump news dominating the Washington headlines with this roundup of big regulatory developments. Zillow is facing CFPB scrutiny, Amazon mulls a pharmaceuticals play, Democratic state AGs move to defend a key part of Obamacare, and the SEC is boosting its ranks in new hires from Big Law. And here's a story about ducks at the U.S. Capitol.
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By Katelyn Polantz | May 16, 2017
The U.S. Securities and Exchange Commission has staffed up with five Big Law alumni, including a rainmaker at Willkie Farr & Gallagher in New York.
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By Amanda Bronstad | May 15, 2017
Securities lawsuits have become a major headache for life sciences companies, according to recent reports. And two plaintiffs' firms, Pomerantz and The Rosen Law Firm, are leading the charge.
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