Daniel Marx

Daniel Marx

Foley Hoag LLP

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SEC Continues Its “Strict Liability” Enforcement Campaigns, Focusing on Filing Failures and Rule 105 Violations

Nearly five years ago, the SEC launched an extensive "crackdown" on violations of Rule 105 of Regulation M, which prohibits short selling securities and then participating in secondary offerings of the same securities within...more

9/18/2014 - Compliance Disgorgement Enforcement Enforcement Actions Regulation M Rule 105 SEC

SEC ALJ Rules Revocations and Bars Are “Penalties” Subject to Five-Year Statute of Limitations in Section 2462

In 2013, the Supreme Court handed down an important ruling concerning the statute of limitations in civil enforcement actions in which the SEC seeks civil monetary penalties. In Gabelli v. SEC, the Justices unanimously ruled...more

9/8/2014 - Civil Monetary Penalty Enforcement Enforcement Actions Gabelli v SEC SEC Statute of Limitations Tolling

Supreme Court Revises Rules for Private Securities Class Actions

On June 23, 2014, in its widely anticipated ruling in Halliburton Co. v. Erica P. John Fund, the U.S. Supreme Court revised the ground rules for private securities class actions under Section 10(b) of the Securities Exchange...more

6/25/2014 - Basic v Levinson Class Certification Fraud Fraud-on-the-Market Halliburton Halliburton v Erica P. John Fund Presumption of Reliance SCOTUS Securities Fraud

SEC Enforcement of Rule 105: The Hits Just Keep on Comin’

Last week, in In the Matter of Worldwide Capital, Inc. and Jeffrey W. Lynn, AP File No. 3-15772 (Mar. 5, 2014), the SEC announced the latest—and largest ever—settlement of an administrative enforcement action concerning...more

3/10/2014 - Civil Monetary Penalty Disgorgement Enforcement Enforcement Actions SEC

Private Company Employees Who Blow the Whistle on Public Company Fraud Are Protected from Retaliation

When it passed the Sarbanes-Oxley Act of 2002 (“SOX”), Congress established protections against retaliation for “employees” who report fraud at public companies. Since then, however, courts and commentators have disagreed...more

3/7/2014 - Contractors DOJ FMR LLC Retaliation Sarbanes-Oxley SCOTUS SEC Subcontractors Whistleblower Protection Policies Whistleblowers

Recent Supreme Court Decision Clarifies Key Principles Concerning Withdrawal from Criminal Conspiracies

Smith v. United States Has Significant Implications for White Collar Prosecutions - In Smith v. United States, No. 11-8976 (Jan. 9, 2013), the Supreme Court resolved a circuit split at “the intersection of a withdrawal...more

3/29/2013 - Conspiracies SCOTUS Statute of Limitations White Collar Crimes

The Supreme Court Holds that the “Discovery Rule” Does Not Apply to SEC Enforcement Actions for Financial Penalties and Affirms...

In Gabelli v. SEC, No. 11-1274 (Feb. 27, 2013), a unanimous Supreme Court issued a much anticipated decision on the statute of limitations for civil enforcement actions in which the SEC seeks monetary penalties, fines or...more

3/8/2013 - Discovery Rule Gabelli v SEC SCOTUS SEC Statute of Limitations

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