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Patience is a Virtue: District Court Suggests that the SEC “Wait and See” Before Seeking Certain No-Admit, No-Deny Settlements

On June 18, 2014, Judge Victor Marrero of the U.S. District Court for the Southern District of New York approved the SEC’s no-admit, no-deny consent decrees in its insider trading case against CR Intrinsic Investors, LLC and...more

6/25/2014 - Consent Decrees Enforcement Enforcement Actions Insider Trading Neither Admit Nor Deny Settlements SEC SEC v Citigroup Settlement

The SEC Scores Another Admission: Scottrade Acknowledges That It Broke Recordkeeping Rules

Last week, Scottrade Inc. became the latest entity to admit wrongdoing in connection with settling SEC charges. In a January 29, 2014 administrative order, the brokerage firm not only agreed to a $2.5 million penalty, but...more

2/5/2014 - Enforcement Actions Recordkeeping Requirements Scottrade SEC

The Cop Is On The Beat: SEC Chair White Says The Agency Aims To Be “Everywhere”

In a recent speech to the Securities Enforcement Forum, SEC Chair Mary Jo White fleshed out the Commission’s plan to pursue all violations of federal securities laws, “not just the biggest frauds.” She also addressed the...more

10/24/2013 - Compliance Enforcement Fraud Mary Jo White SEC

Fannie And Freddie Shareholders To US: 2008 Government Takeover Of Mortgage Giants Good For The Country; Not So Much For Us

Can shareholders of a government-sponsored enterprise successfully challenge the constitutionality of a government takeover of the entity? ...more

6/18/2013 - Class Action Conservators Fannie Mae FHFA Freddie Mac Lenders Mortgages Shareholders Stocks

News Of The (Shareholder Derivative) World: Record-High $139 Million Settlement In News Corp. Phone Hacking Suit

Putting an end to shareholder derivative litigation arising from News Corp.’s phone-hacking scandal, the company’s directors agreed last week to a record-breaking $139 million cash settlement. According to the plaintiffs’...more

5/1/2013 - Derivative Suit News Corp Phone-Hacking Scandal Settlement

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