Michael S. Gordon

Michael S. Gordon

Katten Muchin Rosenman LLP

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Corporate & Financial Weekly Digest - Volume X, Issue 22

In This Issue: - SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules - States Challenge Blue Sky Preemption Under Regulation A+ - FINRA Proposes Revised BrokerCheck Hyperlink Rule -...more

6/8/2015 - Blue Sky Laws BrokerCheck Capital Markets CFTC Clawbacks Disclosure Requirements EU European Commission Executive Compensation Financial Conduct Authority FINRA Hedge Funds Investment Adviser National Futures Association NFA Preemption Public Comment Regulation A SEC Total Shareholder Return (TSR)

Investment Adviser Challenges Constitutionality of SEC Administrative Proceedings

A registered investment adviser and its principal recently sued the Securities and Exchange Commission for declaratory and injunctive relief to stave off an imminent administrative enforcement action, alleging that the tenure...more

10/23/2014 - Administrative Hearings ALJ Declaratory Relief Enforcement Actions Injunctive Relief Investment Adviser Investment Advisers Act of 1940 SEC

Fourth Circuit Declines to Extend Janus to Criminal Cases

A three-judge panel of the US Court of Appeals for the Fourth Circuit recently affirmed the dismissal of a lawyer’s habeas petition, finding that Janus Capital Group Inc. v. First Derivative Traders, a US Supreme Court case...more

5/21/2014 - Criminal Prosecution Dismissals False Statements Habeas Corpus Investment Adviser Janus Capital Group Securities Fraud

Former Hedge Fund Founder Ordered to Pay $5 Million for Securities Law Violations

The US District Court for the Southern District of New York recently ordered the investment adviser to two hedge funds, and its managing director, to pay nearly $5 million in disgorgement, prejudgment interest and civil...more

12/13/2012 - Disgorgement Hedge Funds Investment Adviser Penalties SEC Securities

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