Bruce Sabados

Bruce Sabados

Katten Muchin Rosenman LLP

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SEC Charges Company Executives With Issuing False Press Releases to Inflate Stock Price

The Securities and Exchange Commission recently charged two executives at a penny stock company with issuing false and misleading press releases while secretly selling thousands of their own stock shares into the market. The...more

12/11/2014 - C-Suite Executives Enforcement Actions False Press Release False Statements SEC

SEC Issues Third-Annual Dodd-Frank Whistleblower Program Report

On November 17, the Securities and Exchange Commission released its third annual Dodd-Frank Whistleblower Program Report. The Dodd-Frank Wall Street Reform and Consumer Protection Act provided for the creation of a...more

12/10/2014 - Annual Reports Dodd-Frank SEC Whistleblower Awards Whistleblower Protection Policies

Corporate and Financial Weekly Digest - Volume IX, Issue 47

In this issue: - SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking - FINRA Issues Notice on TRACE Trade Reporting Obligations - NFA Issues Guidance on Exempt and Excluded...more

12/8/2014 - AIFM Bank Secrecy Act Banks Bitcoins BitLicense C-Suite Executives CPOs CTA Dodd-Frank Enforcement Actions EU EU Data Protection Laws False Statements FFIEC FINRA Investment Funds JOBS Act NFA OCC Proposed Amendments Regulatory Standards Rulemaking Process SEC TRACE Whistleblower Awards

Corporate and Financial Weekly Digest - Volume IX, Issue 43

In this issue: - ISS Announces Launch of QuickScore 3.0 - SEC Provides Relief to GSEC From Rule 204 Close-Out Requirements - CFTC Extends Relief to FCMs from Certain Commingling Requirements -...more

11/3/2014 - Banks CCPs CFTC Class Action Commingling Commodities Compliance EMIR ESMA EU European Commission FCMs Fixed Income Investments Flood Insurance Foreign Banks Foreign Exchanges ISS OCC Risk Retention SEC Securities Litigation UK

SEC Obtains Asset Freeze of Turks and Caicos Company Conducting Ponzi Scheme

The Securities and Exchange Commission has obtained an emergency asset freeze of a Turks and Caicos company that allegedly ran a Ponzi scheme in Florida. According to the SEC’s complaint, between November 2004 and May 2014,...more

10/1/2014 - Asset Freeze Fraud Ponzi Scheme Scams SEC White Collar Crimes

Corporate and Financial Weekly Digest - Volume IX, Issue 38

In this issue: - SEC Releases Strategic Plan for 2014–2018 - House Passes Bill H.R. 5405 “Promoting Job Creation and Reducing Small Business Burdens Act” - FINRA Board Approves Several Rulemaking Items...more

9/29/2014 - BEPS Block Trades CFTC Credit Default Swaps ESMA FCPA FINRA Foreign Official Job Creation New Legislation OECD OTC Ponzi Scheme Rulemaking Process SEC SEFs Small Business Strategic Enforcement Plan

SEC Charges Executive With Insider Trading Ahead of Client Announcements

The Securities and Exchange Commission recently filed a complaint in the US District Court for the Southern District of New York against a director at an investor relations firm charging him with multiple instances of insider...more

9/4/2014 - Criminal Prosecution Insider Trading SEC Securities Act of 1933 Securities Exchange Act

Corporate and Financial Weekly Digest - Volume IX, Issue 34

In this issue: - Oregon State Court Refuses to Enforce Forum Selection Bylaw - SEC Announces Pilot Program to Widen Tick Sizes for Smaller Companies - NFA Issues Notice Setting Effective Date for Risk...more

9/2/2014 - Arbitration Attorney's Fees CFTC Compliance Confidentiality Agreements ESMA EU FCA FINRA Forum Selection Clause Mandatory Arbitration Clauses NFA Restrictive Covenants Risk Management SEC Shareholder Litigation Shareholders Small Business

Corporate and Financial Weekly Digest - Volume IX, Issue 23

In this issue: - SEC Chair Gives Speech on Equity Market Structure - New CFTC Commissioners Confirmed; Chairman Sworn In - CFTC Extends No-Action Relief for Certain Transaction-Level Requirements...more

6/9/2014 - CFTC Commodity Pool CPO Cross-Border Derivatives Clearing Organizations Equity Markets Fraud NFA No-Action Relief SEC Swap Dealers Swaps

Corporate and Financial Weekly Digest - Volume IX, Issue 18

In this issue: - SEC Issues Statement on the Effect of the Recent US Court of Appeals Decision on the Conflict Minerals Rule - CFTC Extends Relief From Oral Communication Recording Requirement - CFTC...more

5/5/2014 - CFTC Conflict Mineral Rules Corporate Sales Transactions Designated Contract Market No-Action Letters Reporting Requirements SEC SEFs

Money Manager Sues SEC to Stop Administrative Action in $1.5 Billion CDO Case

A money manager and his firm recently sued the Securities and Exchange Commission claiming that the agency violated their constitutional rights by bringing an administrative proceeding for securities claims in connection with...more

4/2/2014 - Administrative Hearings Collateralized Debt Obligations SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 13

In this issue: - SEC Roundtable Discusses Cybersecurity Threats and Protections Against Cyberattacks - Proposed Changes to FINRA Classification of Hybrid Securities for Trade Reporting Purposes - FINRA...more

3/31/2014 - CFTC Class Action Class Certification Collateralized Debt Obligations Cyber Attacks Cybersecurity Data Breach Data Protection FINRA ICE IPO SEC Swaps

Corporate and Financial Weekly Digest - Volume IX, Issue 8

In this issue: - OTC Markets Proposes Amendments to OTCQX Rules and New Rules for US Banks - SEC Approves Changes to FINRA BrokerCheck Disclosure Rule 8312 - SEC to Examine Never-Before Examined...more

2/24/2014 - Bank Holding Company Banking Sector Broker-Dealer Disclosure Requirements Dodd-Frank Federal Reserve Financial Regulatory Reform FINRA Foreign Banks Investment Adviser IRS OTC SEC Tax Preparers Tax Returns

SEC’s Alleged Failure to Notify SIPC of Ponzi Scheme Does Not Create Liability

A Florida federal court has dismissed a class action alleging that the Securities and Exchange Commission was negligent for failing to report that Robert Allen Stanford’s $7 billion fund was a Ponzi scheme, finding the...more

8/27/2013 - FTCA Liability Negligent Misrepresentation Ponzi Scheme SEC SIPC

Texas District Court Addresses Misappropriation Theory of Insider Trading

The US District Court for the Northern District of Texas recently denied a defendant’s motion for summary judgment in a Securities and Exchange Commission civil enforcement action under the “misappropriation” theory of...more

3/20/2013 - Insider Trading Mark Cuban Misappropriation SEC

Supreme Court Denies SEC Extra Time to Bring Enforcement Actions for Civil Penalties

The US Supreme Court recently held that the Securities and Exchange Commission has five years from the date an alleged fraud occurs, not from the date of its discovery, to bring an enforcement action for civil penalties....more

3/13/2013 - Discovery Rule Gabelli v SEC SCOTUS SEC Securities Fraud Statute of Limitations

Second Circuit Holds Section 16(b) Inapplicable to Different Classes of Common Stock

The US Court of Appeals for the Second Circuit has held that Section 16(b) of the Securities Exchange Act of 1934 does not apply to a transaction where an insider buys and sells shares of different types of stock in the same...more

1/14/2013 - 16(b) Insider Trading SEC Securities Stocks

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