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Investment Adviser › Injunctive Relief

Seward & Kissel LLP

SEC Settles Charges Against Firm for Alleged Whistleblower Protection Rule Violations

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Who may be interested: Investment Advisers, Broker-Dealers - Quick Take: The SEC settled charges against a firm that allegedly prevented brokerage customers and advisory clients from reporting potential securities law...more

Bass, Berry & Sims PLC

Chris Lazarini Provides Insight on the Four Factors to Consider when Temporary Injunctive Relief is Requested

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Bass, Berry & Sims attorney Chris Lazarini provided insight on a case involving a plaintiff’s request for a temporary restraining order (TRO) against former employees who allegedly stole confidential client contact...more

Ballard Spahr LLP

State Attorneys General Seek Injunction Against SEC’s Implementation of Regulation Best Interest

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In a very unusual lawsuit, attorneys general from seven states and the District of Columbia recently sued the SEC, and its chair, Jay Clayton, for declaratory and injunctive relief seeking to block the effectiveness of...more

Faegre Drinker Biddle & Reath LLP

Seven States and D.C. Aggressively Challenge Reg BI

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On September 9, 2019, the states of New York, California, Connecticut, Delaware, Maine, New Mexico and Oregon, and the District of Columbia (collectively, the States) filed a complaint for declaratory and injunctive relief...more

Proskauer Rose LLP

The ERISA Litigation Newsletter - August 2016

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Editor's Overview - This month’s newsletter features an article on the DOL’s recently published interim final rule that increases penalties for notice and disclosure violations, which generally became effective on...more

Dorsey & Whitney LLP

SEC Charges IA With Fraud Tied To Conflicts, Undisclosed Interest

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Undisclosed conflicts by investment advisers and others is a focus of the current SEC enforcement program. In its most recent action, the conflicts came from a firm with an indirect, undisclosed controlling interest in the...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The SEC filed one new action this week – an administrative proceeding involving the principal of an investment adviser and undisclosed conflicts of interest. The Commission also amended a complaint in an insider trading...more

Katten Muchin Rosenman LLP

Investment Adviser Challenges Constitutionality of SEC Administrative Proceedings

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A registered investment adviser and its principal recently sued the Securities and Exchange Commission for declaratory and injunctive relief to stave off an imminent administrative enforcement action, alleging that the tenure...more

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