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Investment Management › Cease and Desist Orders

A&O Shearman

California Federal Judge Holds That Claims Under Section 10(b) Require "Out-of-Pocket" Loss

A&O Shearman on

On February 28, 2020, Judge M. James Lorenz of the United States District Court for the Southern District of California dismissed a putative securities class action against an investment management company (“Company”) and its...more

Dorsey & Whitney LLP

Recent Enforcement Provides Guidance on Internal Controls and Disclosure for Quant Managers

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The recent enforcement action by the Securities and Exchange Commission (“SEC”) against Aegon USA Investment Management (“AUIM”) and three affiliated companies provides helpful guidance to investment advisers who employ...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

Dorsey & Whitney LLP

SEC Files Another Settled Market Crisis Case

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The market crisis may have ended years ago, but not the SEC’s supply of cases from that time period. The agency filed a settled action in which those soliciting sophisticated investors misrepresented the risks of two funds,...more

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