Christin Hill

Christin Hill

Orrick, Herrington & Sutcliffe LLP

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SEC Rolls Out First Wave of MCDC Settlements with Underwriters

Last Thursday, the SEC announced it reached settlement agreements with 36 municipal securities underwriting firms pursuant to its Municipalities Continuing Disclosure Cooperation (MCDC) Initiative.  These settlements mark...more

6/24/2015 - Compliance Disclosure Requirements Enforcement Actions Investors MCDC Municipal Securities Issuers Municipal Securities Market SEC Securities Self-Reporting Underwriting

District Judge Takes Jab at SEC’s Home-Court Advantage in Administrative Proceedings, But Defense Bar May Not Have a Slam Dunk

The defense bar recently won a significant victory in the battle to challenge the SEC’s expanded use of administrative proceedings, following the 2010 enactment of the Dodd-Frank Act, to seek penalties against unregulated...more

6/16/2015 - Administrative Hearings ALJ Appointments Clause Article I Article II Dodd-Frank Non-Delegation Doctrine SEC Seventh Amendment

Who Wants to be a Millionaire? Compliance Officer Whistles His Way to a Million Dollar Pay Day

Last week the SEC announced an award of between $1.4 to $1.6 million to a whistleblower who provided information that assisted the SEC in an enforcement action. The enforcement action against the whistleblower’s company...more

4/28/2015 - Chief Compliance Officers Enforcement Actions Internal Controls Popular SEC Whistleblower Awards Whistleblowers

Additional Avenues May Be Available for Federal Regulators to Curtail Deceptive Practices in High Frequency Trading

We first heard about the SEC’s increased focus on high-frequency trading in June 2014 when the SEC announced its desire to promulgate new rules on high frequency trading to address the lack of transparency in dark pools and...more

2/18/2015 - Commodities Exchange Act Dark Pool Disruptive Trading Practices High Frequency Trading SEC Strategic Enforcement Plan

Delaware Supreme Court Holds That Revlon Does Not Require An Active Market Check, Reverses Lower Court Order Preliminarily...

On December 19, 2014, the Supreme Court of Delaware reversed the Delaware Court of Chancery's November decision to preliminarily enjoin for 30 days a vote by C&J Energy Services stockholders on a merger with Nabors Red Lion...more

1/7/2015 - Board of Directors C&J Energy Change of Ownership Corporate Governance Fiduciary Duty Merger Agreements Oil & Gas Popular Revlon Standard Shareholder Votes Shareholders Solicitation

Delaware Court Preliminarily Enjoins Merger Due to Flawed Sales Process

On November 24, 2014, the Delaware Court of Chancery preliminarily enjoined for thirty days a vote by C&J Energy Services stockholders on a merger with Nabors Red Lion Limited, to allow time for C&J's board of directors to...more

12/2/2014 - Board of Directors Corporate Counsel Oil & Gas Preliminary Injunctions Shareholders Stock-for-Stock Merger

Judge Rakoff’s “Sour Grapes”: SEC v. Citigroup Settlement Approved

On August 5, 2014, U.S. District Judge Jed Rakoff reluctantly approved a$285 million settlement in the SEC’s enforcement action against Citigroup. In SEC v. Citigroup, the SEC alleged that after Citigroup realized in early...more

8/13/2014 - Citigroup Enforcement Enforcement Actions Judge Rakoff Mortgage-Backed Securities SEC SEC v Citigroup Settlement

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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