News & Analysis as of

Administrative Law Judge (ALJ) False Statements

Wiley Rein LLP

ALJ Declines to Rubber Stamp EB Position on License Revocation

Wiley Rein LLP on

According to the internet, rubber stamps can be traced back to 100 AD, when people in China carved text into wood (rubber as we know it in the 21st century wasn’t around until the 1800s) and then dipped the carved wood into...more

Skadden, Arps, Slate, Meagher & Flom LLP

Inside the Courts – An Update From Skadden Securities Litigators - September 2018

This quarter’s issue includes summaries and associated court opinions of selected cases principally decided between May 2018 and August 2018.... US Supreme Court - Supreme Court Holds That SEC Administrative Law Judges...more

Burr & Forman

Lorenzo's a Schemer, Not a Maker; Dissent Blasts SEC ("Not Fair," "Stinks")

Burr & Forman on

Cut, paste and forward ? just as the boss instructed. But Lorenzo’s email to two clients was misleading, so the SEC filed an enforcement action. The ALJ held Lorenzo liable for violating anti-fraud provisions and imposed a...more

Littler

NLRB Ruling in Social Media Case Provides Useful Guidance for Employers

Littler on

Drafting a social media policy in compliance with Section 7 of the National Labor Relations Act (“NLRA” or “the Act”) has become increasingly challenging for employers, as the National Labor Relations Board (“NLRB” or “the...more

Burr & Forman

SEC Affirms Sanctions on Stanford’s CCO

Burr & Forman on

The SEC recently affirmed its ALJ’s ruling barring Alan Stanford’s former CCO from the industry and ordering monetary penalties of $260,000 together with $591,992 in disgorgement. The Commission held the CCO approved false...more

Bergeson & Campbell, P.C.

FTC Strikes Again—Company Found to Make False and Misleading Biodegradable Claims

On October 20, 2015, the United States Federal Trade Commission (FTC) released a Final Order with a corresponding Opinion against ECM BioFilms, Inc. (ECM) stating that ECM made false and unsubstantiated environmental claims...more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

The SEC issued its final Dodd-Frank pay ratio rules this week by a 3-2 vote. It also issued its final registration rules for Security-Based Swap Dealers and Major Security-Based swap participants. More questions were...more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

The question of forum selection by the SEC was a key issue this week. While to date suits challenging the SEC’s right to bring an action as an administrative proceeding rather than in federal court have had little success –...more

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