Christine O'Neil

Christine O'Neil

Ballard Spahr LLP

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In ERISA Stock Drop Case, Supreme Court Giveth and Taketh Away on Moench Presumption

The U.S. Supreme Court recently eviscerated a key protection against stock drop lawsuits filed by participants in defined contribution plans that hold employer stock as an investment. In Fifth Third Bancorp et al. v....more

6/30/2014 - ERISA ESOP Fiduciary Duty FIfth Third Bancorp v Dudenhoeffer Fifth Third Mortgage Company Halliburton Halliburton v Erica P. John Fund Moench Presumption SCOTUS Stock Drop Litigation US Bancorp

SEC Announces First Investment Adviser ‘Pay-to-Play’ Enforcement Action

The U.S. Securities and Exchange Commission (SEC) announced its first enforcement action under "pay-to-play" rules for investment advisers since those rules were adopted nearly four years ago. TL Ventures Inc., a...more

6/25/2014 - Campaign Contributions Enforcement Enforcement Actions Fees Investment Adviser PACs Pay-To-Play Pensions Private Equity SEC

Supreme Court Provides New Ammunition for Defeating Securities Fraud Class Actions

The U.S. Supreme Court today gave companies new ammunition to defeat securities fraud class actions. In Halliburton v. Erica P. John Fund, the Court held that defendants can, at the preliminary class certification stage,...more

6/24/2014 - Basic v Levinson Class Action Fraud Fraud-on-the-Market Halliburton Halliburton v Erica P. John Fund SCOTUS Securities Litigation

SEC Charges Charter School Operator with Disclosure Violations, Suggests It May Charge Individuals

The U.S. Securities and Exchange Commission recently charged a Chicago charter school operator with defrauding investors in a $37.5 million bond offering by failing to disclose transactions that presented conflicts of...more

6/5/2014 - Bonds Charter Schools Disclosure Requirements Fraud SEC

SEC Assesses Its First Financial Penalty against a Municipal Securities Issuer

The Securities and Exchange Commission (SEC) announced yesterday that it has, for the first time, assessed a financial penalty against a municipal securities issuer. The penalty arises from a settled administrative proceeding...more

11/7/2013 - Investors Municipal Bonds Municipal Securities Issuers Penalties SEC

The SEC’s Renewed Focus on Financial Reporting and Accounting Fraud

In several recent public speeches, the Securities and Exchange Commission (SEC) has announced a renewed focus on financial reporting and accounting fraud, vowing to devote substantial resources to enforcement activities in...more

10/29/2013 - Accounting Accounting Fraud Compliance Enforcement Fraud SEC

EB-5 Program Faces Heightened Enforcement Scrutiny

Announcements last week by the Securities and Exchange Commission (SEC) and U.S. Citizenship Immigration Services (USCIS) indicate that investments made through the EB-5 Immigrant Investor Program (the EB-5 Program) will be...more

10/14/2013 - EB-5 Enforcement Actions Fraud Green Cards Investors SEC USCIS Visas

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