E*Trade

News & Analysis as of

SEC Issues Risk Alert, Smacks E*Trade on Penny Stock Sales

On October 9th the SEC brought a settled administrative action against E*Trade Securities and G1 Execution Services (formerly E*Trade Capital Markets) for their part in the unregistered sales of billions of shares of penny...more

SEC Charges E*Trade Subs: When Is the Due Diligence Sufficient?

Having the correct compliance procedures in place can often be critical. The SEC and the DOJ have repeatedly emphasized this in FCPA cases. Conducting due diligence can be equally critical. For gatekeepers such as lawyers,...more

This Week In Securities Litigation

The Fifth Circuit decided a significant case on loss causation. The Court concluded that the truth could emerge from a series of disclosures which, in and of themselves were not sufficient to uncover the fraud, but which when...more

Federal Court in Delaware Issues First Stay Pending Covered Business Method Review under Section 18(b)(1) of the America Invents...

On February 5, 2013, Judge Gregory M. Sleet of the U.S. District Court for the District of Delaware issued an order staying litigation pending review by the Patent Trial and Appeal Board under the Transitional Program for...more

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