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Tenth Circuit Creates Circuit Split on the Constitutionality of SEC Administrative Law Judges

On December 27, 2016, a divided panel of the Tenth Circuit Court of Appeals found the SEC’s use of administrative law judges (“ALJs”) unconstitutional, setting aside an ALJ’s administrative order finding David F. Bandimere...more

District Court Follows Supreme Court’s Lead in Halliburton, Allows Class Action to Proceed with Narrowed Factual Scope

Applying the Supreme Court’s landmark decision in Halliburton Co. v. Erica P. John Fund, Inc., 134 S. Ct. 2398 (2014) (“Halliburton II”), which allowed companies facing securities fraud class actions to defeat certification...more

Basic Is Dying a Slow Death: The Supreme Court Upholds the Fraud-on-the-Market Presumption in Halliburton but Allows Rebuttal

Given the opportunity to overrule its landmark 1988 decision in Basic v. Levinson, in which it created the fraud-on-the-market presumption, the Supreme Court declined. The Court found in its decision this week in Halliburton...more

Not in My House: Mark Cuban Defeats the SEC's Insider Trading Charges

The high profile long-running saga between Mark Cuban -- entrepreneur, television personality, and billionaire owner of the Dallas Mavericks -- and the SEC has finally ended with Mr. Cuban emerging victorious. On October 16,...more

11/15/2013  /  Insider Trading , Sales , SEC , Shareholders , Stocks

A Big Week for the Securities Bar: Amgen and Gabelli

The Supreme Court last week issued two opinions of major importance to the securities bar. In Amgen Inc. v. Connecticut Retirement Plans & Trust Funds, 568 U.S. (2013), the court held that no proof of materiality was required...more

3/11/2013
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