William M. Regan

William M. Regan

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume IX, Issue 40

In this issue: - SEC Division of Corporation Finance Issues New C&DI Related to Rule 147 and Website/Social Media Use - Director of SEC Division of Corporation Finance Gives Speech on Securities...more

10/13/2014 - Bitcoin CFTC Derivatives Derivatives Clearing Organizations Disclosure Disclosure Requirements FINRA Internet OTC SEC Securities Act of 1933 Social Media TRACE Virtual Currency Waivers Websites

Corporate and Financial Weekly Digest - Volume IX, Issue 35

In this issue: - SEC Decreases Registration Statement Filing Fees for Fiscal Year 2015 - SEC Adopts Regulation AB II - US Banking Regulators Propose Margin Requirements for Uncleared Swaps - CME...more

9/8/2014 - Banks Debt Buyers Filing Fees Financial Regulatory Reform Liquidity Coverage Ratio Loans Regulation AB SEC

Smith & Wesson Pays $2 Million to Resolve SEC Charges

On July 28, Smith & Wesson Holding Corporation, one of the largest gun manufacturers in the United States, agreed to pay more than $2 million to settle Securities and Exchange Commission charges alleging that it had bribed...more

8/5/2014 - Accounting Controls Bribery FCPA Gun Manufacturers Internal Controls Manufacturers Neither Admit Nor Deny Settlements SEC Settlement Smith & Wesson

Former Chief Operating Officer Settles SEC Fraud Claims

The Securities and Exchange Commission recently announced that Peter Jenson, the former chief operating officer of Harbinger Capital Partners LLC, agreed to pay a $200,000 civil penalty to resolve charges that he aided the...more

8/5/2014 - Civil Monetary Penalty Enforcement Actions Income Taxes Misappropriation Mutual Funds SEC Securities Securities Fraud

Corporate and Financial Weekly Digest - Volume IX, Issue 30

In this issue: - Amendments to FINRA Rule 2210 Regarding Communications With the Public - Smith & Wesson Pays $2 Million to Resolve SEC Charges - Former Chief Operating Officer Settles SEC Fraud...more

8/4/2014 - Advertising Banking Sector Banks Broker-Dealer Corporate Officers Electronic Communications FINRA Misappropriation Retailers Rule 2210 SEC Securities Securities Exchange Act Securities Fraud Settlement Smith & Wesson

SEC Obtains Settlement for Investment Adviser’s Real Estate Investment Fraud

The Securities and Exchange Commission recently announced a settlement with an investment adviser based on alleged fraud in a real estate investment offering....more

6/25/2014 - Fraud Investment Adviser Real Estate Market SEC Settlement

Corporate and Financial Weekly Digest - Volume IX, Issue 25

In this issue: - Delaware Court of Chancery Rules That a Major Debt Holder and 48 Percent Stockholder Is a Controlling Stockholder and Owes Fiduciary Duties to Minority Stockholders - Delaware Court of Chancery...more

6/23/2014 - Compliance Controlling Stockholders Cross-Border Debt Debtors Disclosure Requirements FCMs Fiduciary Duty FINRA Fraud Investment Adviser Minority Shareholders Real Estate Market SEC Shareholder Litigation Shareholders Swaps

SEC Alleges Insider Trading by Two Friends in Advance of the Acquisition of The Shaw Group Inc.

On April 3, the Securities and Exchange Commission brought a lawsuit against Walter Wagner and Alexander Osborn, alleging that the two friends realized almost $1 million in profits by illegally trading securities of The Shaw...more

4/23/2014 - Fraud Insider Trading SEC

SEC Brings Lawsuit Against Hedge Fund Manager for Defrauding Investors

On April 4, the Securities and Exchange Commission filed a complaint against Matthew D. Sample, founder of hedge fund Lobo Volatility Fund, LLC, for fraudulently raising approximately $1 million from five investors. According...more

4/23/2014 - Fraud Hedge Funds SEC Securities Fraud

Corporate and Financial Weekly Digest - Volume IX, Issue 16

In this issue: - US Court of Appeals for the District of Columbia Circuit Partially Invalidates Conflict Minerals Rule - FINRA Proposes Rule 2081 to Prohibit “Bargained-For” Expungements - SEC Issues FAQs...more

4/21/2014 - Broker-Dealer CME Conflict Mineral Rules Expungement FINRA Fraud Hedge Funds SEC

SEC Obtains Settlement for Violations of Registration Rules and “Layering”

The Securities and Exchange Commission recently announced a settlement with two brokerage firms and certain of their executives for improper compensation-sharing and “layering,” a strategy in which a trader places and later...more

4/17/2014 - Broker-Dealer Executive Compensation SEC Settlement Visionary

Corporate and Financial Weekly Digest - Volume IX, Issue 15

In this issue: - SEC Issues New FAQs on Conflict Minerals - SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule - FINRA Requests Comment on Rules Regarding...more

4/14/2014 - Broker-Dealer CFTC Collateralized Loan Obligations Conflict Mineral Rules FINRA Leverage Capital Ratio MTFs SEC Swaps

US Court of Appeals for the Eleventh Circuit Upholds Fraud Penalties for Ex-GlobeTel Executives

The US Court of Appeals for the Eleventh Circuit recently upheld a summary judgment decision granted in favor of the US Securities and Exchange Commission against three former GlobeTel Communications Corp. (GlobeTel)...more

3/13/2014 - Enforcement Actions Fraud Penalties Personal Liability Professional Liability SEC Telecommunications

Corporate and Financial Weekly Digest - Volume IX, Issue 10

In this issue: - FINRA Requests Comment on Proposed Rule Set for Limited Corporate Financing Brokers - SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments -...more

3/10/2014 - Appeals CFTC Disgorgement False Reporting Financial Reporting FINRA Fraud Mergers SEC

District Court Upholds SEC’s Partial Win in Bank Fraud Suit

The US District Court for the Southern District of Florida recently refused to reconsider its earlier decision granting partial summary judgment in favor of the Securities and Exchange Commission in a securities fraud case...more

2/12/2014 - Bank Fraud Banks Enforcement Actions SEC

SDNY Grants SEC’s Final Summary Judgment Claim in Securities and Investment Advisor Fraud Case

The US District Court for the Southern District of New York granted the Securities and Exchange Commission summary judgment on its one outstanding securities fraud claim against Alberto Vilar and Gary Tanaka, co-founders of...more

2/12/2014 - Enforcement Actions Fraud Investment Adviser SEC Securities Fraud Summary Judgment

Corporate and Financial Weekly Digest - Volume IX, Issue 6

In this issue: - SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements - SEC Issues No-action Relief Regarding Registration of M&A Brokers - CFTC Issues Guidance on New...more

2/11/2014 - Alternative Investment Funds Bank Fraud Banks Brokers CFTC Due Diligence Exemptions Filing Requirements Fraud Investment Adviser Investment Funds No-Action Relief Private Placements Registration Rule 506 Offerings SEC Swap Dealers Swaps

SEC Announces Enforcement Results for 2013

The Securities and Exchange Commission recently announced the results of its enforcement activities during fiscal year 2013. Most notably, the SEC disclosed that it filed 686 enforcement actions and recovered $3.4 billion in...more

12/24/2013 - Enforcement Enforcement Actions SEC

Second Circuit Says Injured Investors Lack Standing to Challenge Release of Fair Funds to US Treasury

The US Court of Appeals for the Second Circuit recently held that injured investors, who had already recovered some of their losses due to certain specialist firms’ “manipulative tactics,” lacked standing to challenge the...more

11/20/2013 - Investors Sarbanes-Oxley SEC Standing U.S. Treasury

Admissions of Wrongdoing in SEC Settlement Lead to Ban From Managing Any New York Licensed Insurer

The New York State Department of Financial Services (DFS) recently announced that hedge fund advisor Philip Falcone (Falcone), and all employees of his firm Harbinger Capital Partners (Harbinger Capital), are banned for seven...more

10/17/2013 - Admissions of Liability Financial Services Authority Insurers SEC Settlement

District Court Dismisses Class Action Suit Under FTCA Against SEC

The US District Court for the Middle District of Louisiana granted the United States’ motion to dismiss a putative class action law suit against the Securities Exchange Commission. Plaintiffs brought the suit under the...more

7/2/2013 - Class Action FTCA Ponzi Scheme SEC

Massachusetts District Court Affirms Scienter Requirement of False Statement Crime

The District Court for the District of Massachusetts recently held that in order to obtain a conviction for making a false statement to a government agent, the government must prove that the defendant knew, or reasonably...more

5/29/2013 - False Statements Insider Trading Scienter SEC

Head of SEC Enforcement Division's Asset Management Unit Addresses Hedge Fund Enforcement Priorities

Bruce Karpati, Chief of the Securities Exchange Commission Enforcement Division’s Asset Management Unit (AMU), spoke before the Regulatory Compliance Association earlier this week to address the AMU’s current enforcement...more

12/28/2012 - Asset Management Hedge Funds SEC

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