Welcome to the 2014 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. Its purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we believe of interest to sophisticated General Counsel, Chief Compliance Officers, Compliance Departments, Legal Departments, and members of the securities and commodities industries at financial institutions, private investment funds, and public companies.
We issue this Securities Litigation and Regulatory Enforcement Report at mid-year and shortly after year-end. We hope you find the information and commentary useful and welcome your comments and suggestions. We encourage you to contact any of the practice team members listed at the end of the Report.
This Report highlights recent significant developments in:
- Supreme Court cases,
- Securities law cases,
- Insider trading cases,
- Civil and regulatory settlements,
- Investment adviser and hedge fund cases,
- Commodities and futures regulation and cases,
- Securities policy and regulatory developments,
- The SEC’s Cooperation Program
Please see full report below for more information.
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Topics: Banking Sector, Banks, CFTC, Commodities, Deferred Prosecution Agreements, Enforcement, Enforcement Actions, ERISA, FIfth Third Bancorp v Dudenhoeffer, Financial Institutions, Futures, Halliburton v Erica P. John Fund, Hedge Funds, Insider Trading, Investment Adviser, Investment Funds, Municipal Securities Issuers, Publicly-Traded Companies, Risk Alert, SCOTUS, SEC, Securities, Settlement, Stock Drop Litigation, Whistleblower Awards
Published In: Civil Procedure Updates, General Business Updates, Finance & Banking Updates, Labor & Employment Updates, Securities Updates
DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.
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