AD Nauseam: A Different Type of Imposter Syndrome
5 Key Takeaways | Petitions for Expungement or Reexamination of the Trademark Modernization Act
5 Key Takeaways | Combating Misrepresentations in Trademark Prosecution and Maintenance
Law School Toolbox Podcast Episode 341: Listen and Learn -- Contract Defenses
Bar Exam Toolbox Podcast Episode 164: Listen and Learn -- Contract Defenses
Law Brief®: Michael Grudberg, Robert Heim and Richard Schoenstein Discuss the Theranos Verdict
Williams Mullen's COVID-19 Comeback Plan: Preparing Today for Tomorrow's PPP Audit
Bar Exam Toolbox Podcast Episode 86: Tackling a California Bar Exam Essay: Remedies
BakerHostetler Partner Alan Friel Talks Big Data and Data Collection
Homebuilder Series Webinar: Protecting Your Company From Misrepresentation Claims Through Contractual Exculpatory Clauses
Bank of America Tries Excuse They Often Scoff at in Fraud Suits Filed by DOJ, SEC
The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
...SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Fund Names Rule) as well...more
On January 13, 2022, the Securities and Exchange Commission (SEC) announced settled charges against CMG Capital Management Group, Inc. (CMG), a registered investment adviser for failing to adopt and implement policies and...more
The U.S. Securities and Exchange Commission (SEC) investigates companies, brokerage firms, and individuals for a broad range of statutory and regulatory violations. These investigations can lead to civil or administrative...more
How statements in both traditional and new media outlets may catch the SEC’s attention. From music moguls and sports icons promoting cryptocurrencies and digital tokens,1 to reality television stars bringing down the price...more
The SEC prevailed on two summary judgment motions. One centered on a manipulation action. The other was against an attorney who facilitated a prime bank fraud. The Commission also filed: An action against UBS tied to its...more
Returning to an enforcement priority repeatedly articulated over the years, the SEC recently imposed sanctions on a registered investment advisory firm and two principals arising out of an alleged scheme to inflate the...more
The SEC issued an Order (the “Order”) instituting administrative and cease-and-desist proceedings against Ambassador Capital Management, LLC (the “Adviser”) and the portfolio manager (the “Portfolio Manager”) for a prime...more
Umesh Tandon, president, chief compliance officer, and sole owner of Simran Capital Management, recently agreed to a settlement with the SEC relating to alleged violations of the Investment Advisers Act of 1940 and the...more