Peter Saparoff

Peter Saparoff

Mintz Levin

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Five Questions and Answers About the Second Circuit’s SEC v. Citigroup Decision

Last week we posted a summary of the Second Circuit’s decision in SEC v. Citigroup Global Markets, Inc. This week, as a follow-up, we pose the following five “yes or no” questions and provide responses as a way to further...more

6/11/2014 - Admissions of Liability Citigroup Judge Rakoff Neither Admit Nor Deny Settlements SEC SEC v Citigroup Settlement

Three Options for Institutional Investors Pursuing Claims Against Non-U.S. Issuers in the Wake of Morrison and City of Pontiac

In its 2010 Morrison decision, the Supreme Court decided that Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b) (“Section 10(b)”),only reaches “transactions in securities listed on domestic exchanges”...more

5/22/2014 - City of Pontiac Fraud Morrison v National Australia Bank SCOTUS SEC Securities Exchange Act Securities Fraud

The Evisceration of the Federal Securities Law

I. Introduction - a. Legislative history of the Securities Act of 19331 (“Securities Act”) and the Securities Exchange Act of 19342 (“Exchange Act” and collectively, the “Acts”). ..i. Congress passed the Acts...more

2/13/2014 - Dodd-Frank Legal History PSLRA SEC Securities Act of 1933 Securities Exchange Act

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