Welcome to the 2017 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
The purpose of this report is to provide a periodic survey of matters we believe to be of interest...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
The Supreme Court recently granted certiorari to examine the “in connection with” requirement of the Securities Litigation Uniform Standards Act (“SLUSA”) in Chadbourne & Parke LLP v. Troice, No. 12-79....more