M. Norman Goldberger

M. Norman Goldberger

Ballard Spahr LLP

Contact  |  View Bio  |  RSS

Latest Publications

Share:

SEC Charges City Mayor as a Control Person in Allen Park, Michigan, Enforcement Action

Thursday, the Securities and Exchange Commission (SEC) announced fraud charges against the City of Allen Park, Michigan (City), and two of its former officials—the former City Mayor and former City Administrator. It is the...more

11/10/2014 - Economic Development Enforcement Actions Fraud Joint and Several Liability Municipal Bonds Municipalities P3s Public Officials Public-Private Partnerships SEC Securities Exchange Act

MCDC Issuer Deadline is December 1. Are You Prepared?

The deadline for municipal issuers and obligated persons to self-report to the Securities and Exchange Commission (SEC) under its Municipal Continuing Disclosure Compliance (MCDC) Initiative any recent misstatements in...more

10/14/2014 - Deadlines Filing Deadlines MCDC SEC

In ERISA Stock Drop Case, Supreme Court Giveth and Taketh Away on Moench Presumption

The U.S. Supreme Court recently eviscerated a key protection against stock drop lawsuits filed by participants in defined contribution plans that hold employer stock as an investment. In Fifth Third Bancorp et al. v....more

6/30/2014 - ERISA ESOP Fiduciary Duty FIfth Third Bancorp v Dudenhoeffer Fifth Third Mortgage Company Halliburton Halliburton v Erica P. John Fund Moench Presumption SCOTUS Stock Drop Litigation US Bancorp

SEC Announces First Investment Adviser ‘Pay-to-Play’ Enforcement Action

The U.S. Securities and Exchange Commission (SEC) announced its first enforcement action under "pay-to-play" rules for investment advisers since those rules were adopted nearly four years ago. TL Ventures Inc., a...more

6/25/2014 - Campaign Contributions Enforcement Enforcement Actions Fees Investment Adviser PACs Pay-To-Play Pensions Private Equity SEC

Supreme Court Provides New Ammunition for Defeating Securities Fraud Class Actions

The U.S. Supreme Court today gave companies new ammunition to defeat securities fraud class actions. In Halliburton v. Erica P. John Fund, the Court held that defendants can, at the preliminary class certification stage,...more

6/24/2014 - Basic v Levinson Class Action Fraud Fraud-on-the-Market Halliburton Halliburton v Erica P. John Fund SCOTUS Securities Litigation

Delaware Supreme Court Deals Blow to Merger Litigation Plaintiffs

On Friday, the Delaware Supreme Court adopted the business judgment rule standard of review for some controlling stockholder freeze-out mergers and potentially other interested party transactions. In Kahn, et al. v. M&F...more

3/20/2014 - Business Judgment Rule Controlling Stockholders Freeze-Out Mergers Mergers Standard of Review

Supreme Court Hears Argument in Potentially Game-Changing Securities Law Case

On March 5, 2014, the U.S. Supreme Court heard argument in Halliburton v. Erica P. John Fund. The outcome of this case may change the landscape for securities class actions. The issue in Halliburton is whether the fraud on...more

3/10/2014 - Basic v Levinson Class Action Class Certification Fraud-on-the-Market Halliburton Halliburton v Erica P. John Fund SCOTUS Securities Fraud

SEC Assesses Its First Financial Penalty against a Municipal Securities Issuer

The Securities and Exchange Commission (SEC) announced yesterday that it has, for the first time, assessed a financial penalty against a municipal securities issuer. The penalty arises from a settled administrative proceeding...more

11/7/2013 - Investors Municipal Bonds Municipal Securities Issuers Penalties SEC

EB-5 Program Faces Heightened Enforcement Scrutiny

Announcements last week by the Securities and Exchange Commission (SEC) and U.S. Citizenship Immigration Services (USCIS) indicate that investments made through the EB-5 Immigrant Investor Program (the EB-5 Program) will be...more

10/14/2013 - EB-5 Enforcement Actions Fraud Green Cards Investors SEC USCIS Visas

9 Results
|
View per page
Page: of 1