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For Now, The Broad Interpretation of “Foreign Officials” Under the FCPA Is Here to Stay

In recent years, the DOJ and SEC have significantly increased their Foreign Corrupt Practices Act (FCPA) enforcement efforts, and in the process, have successfully advocated the theory that state-owned or state-controlled...more

10/20/2014 - Compliance DOJ Enforcement Enforcement Actions FCPA Foreign Official SEC

SEC Bats 0-for-2 on Insider Trading

A California federal jury sided against the U.S. Securities and Exchange Commission on Friday, June 6, finding the founder of storage device maker STEC Inc. not guilty on insider trading charges. ...more

6/10/2014 - Enforcement Actions Fraud Insider Trading SEC

For Whom The Statute Tolls? A California Court Refuses Equitable Tolling For RMBS Claims

A recent decision dismissing an RMBS lawsuit in the Los Angeles County Superior Court highlights the critical importance of filing your claims in the correct court whenever there is a jurisdictional issue....more

5/8/2014 - Countrywide Equitable Tolling Jurisdiction Litigation Strategies Massachusetts Mutual RMBS Statute of Limitations Tolling

Honey, You Did What? SEC Charges Yet Another Spouse With Insider Trading

On March 31, 2014, the Securities and Exchange Commission brought insider trading charges against Ching Hwa Chen, the husband of a corporate insider, alleging that he misappropriated financial information from his wife and...more

4/9/2014 - Enforcement Actions Insider Trading SEC

Are Confidential Witness Reforms Looming On The Horizon? Can The Plaintiff’s Bar Stop Them?

A decision is expected shortly in the highly publicized so-called confidential witness “scandal” involving the Robbins Geller Rudman & Dowd law firm. Judge Suzanne B. Conlon of the United States District Court, Northern...more

1/23/2014 - Confidential Witnesses Evidence Rule 11 Witness

Rare Securities Trial Over Credit Crises Claims Results In Defense Verdict

On May 28, 2013, in Delshah Group LLC v. Javeri, a rare securities trial regarding credit-crisis related claims, Judge Katherine B. Forrest of the United States District Court for the Southern District of New York issued an...more

6/5/2013 - Banking Crisis Intent Private Securities Litigation Reform Act of 1995 Rule 10b-5 Scienter

Stop! In The Name Of ... 28 U.S.C. §2462

On January 8, 2013, the U.S. Supreme Court heard arguments in Gabelli v. Securities and Exchange Commission, No. 11-1274, concerning when the clock begins to run on the five-year statute of limitations for civil penalty...more

1/15/2013 - Civil Monetary Penalty Enforcement Actions Gabelli v SEC Penalties SCOTUS SEC Securities Statute of Limitations

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