On November 28, 2017, the United States Supreme Court heard oral argument on whether whistleblowers are entitled to protection from retaliation under Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection...more
Welcome to the 2017 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
The purpose of this report is to provide a periodic survey – in addition to our Practice Team...more
7/31/2017
/ Broker-Dealer ,
CFTC ,
Commodities ,
Dodd-Frank ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Insider Trading ,
Internal Reporting ,
Investment Adviser ,
Kokesh v SEC ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
SLUSA ,
Whistleblower Protection Policies ,
Whistleblowers
Globalization has connected people, companies, and products across national borders more than ever. Goods and services developed in one part of the world are readily available in other parts of the world and technology is...more
3/11/2016
/ Accounting Fraud ,
Anti-Money Laundering ,
Dodd-Frank ,
Government Investigations ,
Insider Trading ,
Racketeering ,
Regulatory Oversight ,
Sanctions ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Spoofing ,
UK ,
Whistleblowers