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If the SEC Misses the SOL, It’s SOL (Sorry, Out of Luck) – District Court Holds Statute of Limitations Is Jurisdictional and...

The SEC suffered a blow very recently when Judge James Lawrence King of the U.S. District Court for the Southern District of Florida entered summary judgment dismissing the entirety of its alleged Ponzi scheme case on...more

5/28/2014 - Jurisdiction Ponzi Scheme Real Estate Investments SEC Securities Securities Fraud Statute of Limitations Subject Matter Jurisdiction

Supreme Court Narrows The Scope Of SLUSA Preemption, Green-Lighting State Law Class Action Claims Alleging Ponzi Scheme

On February 26, 2014, the U. S. Supreme Court (“the Court”) held that the Securities Litigation Uniform Standards Act of 1998 (“SLUSA”) did not preclude Stanford Ponzi scheme plaintiffs’ state-law class action claims because...more

3/5/2014 - Chadbourne & Parke LLP v Troice Class Action Ponzi Scheme Preemption SCOTUS SLUSA

Seventh Circuit Remands for Possible Rule 11 Sanction on Counsel That Filed to Aqequately Investigate Confidential Witnesses

Plaintiffs’ counsel beware: to avoid Rule 11 sanctions you might actually have to talk to “con­fidential witnesses” yourself and corroborate their statements before citing them in a securities fraud complaint....more

6/4/2013 - Boeing Confidential Witnesses Investigations Rule 11 Sanctions Scienter

Say Hello To My Imaginary Friend! Judge Posner, Seventh Circuit Issue Stern Warning To Plaintiffs’ Firms For Again Citing Bogus...

Plaintiffs’ counsel beware: to avoid Rule 11 sanctions you might actually have to talk to “confidential witnesses” yourself and corroborate their statements before citing them in a securities fraud complaint....more

4/2/2013 - Confidential Witnesses Discovery Pleadings Rule 11 Securities Fraud Witness Statements

The SEC Wants To Know About Your Whistleblower Policy

SEC Regional Office Director David Bergers recently emphasized the importance of a company’s whistleblower policy when deciding whether to file an enforcement action against a company. Bergers made his comments at an internal...more

12/19/2012 - Enforcement Actions SEC Whistleblower Protection Policies Whistleblowers

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