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2016 Mid-Year Securities Litigation and Enforcement Highlights

Welcome to the 2016 Mid-Year Report From the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters...more

Who's Your Supervisor? The SEC Sheds Further Light on the Subject

The recent issuance of frequently asked questions and interpretive answers by the SEC's Division of Trading and Markets (the "FAQs") clarifies a "disturbingly murky" area of the federal securities law -- namely, what facts...more

Third Circuit Holds Rule 10b-5 Violations May Be Imputed to Investment Management Company on Basis of Apparent Agency

The United States Court of Appeals for the Third Circuit recently issued a decision that highlights the importance of investment management companies using extreme caution when promoting investment products to their clients,...more

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