News & Analysis as of

Misrepresentation Sanctions

EDRM - Electronic Discovery Reference Model

[Webinar] "My AI Did It!" Is No Excuse for Unethical or Unprofessional Conduct: Consideration of recent case law and ethics...

Consideration of ethical and professional issues raised by Florida attorneys use of AI, including the following: - Florida Bar Ethics Opinion 24-1 (01/19/24). (Copy to be provided for download.) Overview of the opinion...more

Kohn, Kohn & Colapinto LLP

Using Whistleblower Laws to Hold Polluters Accountable

Global political and business leaders have purported ambitious climate-focused goals for the decades ahead, such as eliminating landfill waste by 2030, transitioning to 100% renewable energy use by 2035, and achieving...more

EDRM - Electronic Discovery Reference Model

[Webinar] Important eDiscovery Case Law Decisions for September 2023 - October 4th, 1:00 pm ET

Fall is in the air and so is the whiff of sanctions! Our September 2023 monthly webinar of cases covered by the eDiscovery Today blog discusses six disputes including sanctions for discovery violations & misrepresentations,...more

Kilpatrick

[Webinar] Combatting Misrepresentations in Trademark Prosecution and Maintenance: The Trademark Modernization Act and Beyond -...

Kilpatrick on

The Trademark Modernization Act, many aspects of which went into effect December 27, 2021, implemented numerous changes to United States trademark practice, including codification of letters of protest, changes to the...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

Eleventh Circuit Court of Appeals Creates New Standard for Standing in Title III Cases Against Gas Stations

For years, Scott Dinin was one of South Florida’s most prolific filers of Title III of the Americans with Disabilities Act (ADA) cases. His run ended two years ago, when, after obtaining default judgments against two gas...more

UB Greensfelder LLP

FINRA AWC Provides New Defense To Allegation Of “Willfulness”

UB Greensfelder LLP on

I dare you. In fact, I double-dog dare you to figure out how or why FINRA decides to charge willfulness in some cases but not in others. Bottom line is that it is nearly impossible (except if you’re a big firm, in which case...more

Dorsey & Whitney LLP

Federal Magistrate Judge Tells Cautionary Tale About How Not to Conduct Discovery in Federal Court

Dorsey & Whitney LLP on

Earlier this month, a federal magistrate judge in the Eastern District of New York, Judge Lois Bloom, issued a report and recommendation (“R&R”) that the ultimate sanction of default judgment be entered against certain...more

Holland & Knight LLP

Recent Debarments Highlight Growing Risk of Sanctions By Multilateral Development Banks

Holland & Knight LLP on

• Companies that operate globally face substantial risks associated with activities funded by multilateral development banks (MDBs). • Several recent debarment actions by the World Bank highlight those risks. • To...more

Proskauer - Whistleblower Defense

Sanctions Award Strengthens Fight to Protect Confidential Company Records

On October 18, 2017, a federal district judge in Alaska ordered a former employee to pay nearly $170,000 of his ex-employer’s legal fees as sanction for removing nine attorney-client privileged documents prior to his...more

Burr & Forman

Fall 2017 Consumer Financial Protection Bureau Update

Burr & Forman on

The Consumer Financial Protection Bureau (“CFPB” or “Bureau”) is a U.S. government agency created by the Dodd-Frank Wall Street Reform and Consumer Protection Act. The CFPB is the first federal agency tasked solely with the...more

Skadden, Arps, Slate, Meagher & Flom LLP

Inside the Courts – An Update From Skadden Securities - June 2017

This quarter’s issue includes summaries and associated court opinions of selected cases principally decided between February 2017 and April 2017. The cases address developing trends in class actions, ERISA, fiduciary duties,...more

Schwabe, Williamson & Wyatt PC

Fresh From the Bench: Precedential Patent Cases From the Federal Circuit

Our report includes discussions of six of the precedential cases decided in the past week and will include the other three cases in next week’s report. In Aylus v. Apple, the panel finds prosecution disclaimer in a...more

Goodwin

Business Litigation Reporter October 2015

Goodwin on

Goodwin Procter’s Business Litigation Reporter provides timely summaries of key cases and other developments within dedicated Business Litigation sessions and related courts throughout the country – courts within which...more

Dorsey & Whitney LLP

SEC, FINRA, DC Sanction Success Trade

Dorsey & Whitney LLP on

A recurrent theme in today’s enforcement environment is parallel and often overlapping proceedings. That is the case with a District of Columbia based broker that drew sanctions from the SEC, FINRA and DC. In the Matter of...more

Proskauer - Corporate Defense and Disputes

SEC Sanctions Hedge Fund Advisory Firm For Improper Valuations of Illiquid Securities

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

Katten Muchin Rosenman LLP

FINRA’s NAC Strengthens Sanction Guidelines Related to Fraud and Suitability

On May 12, the Financial Industry Regulatory Authority announced that the National Adjudicatory Council (NAC) revised its Sanction Guidelines to call for tougher sanctions against those who commit fraud or make unsuitable...more

McDermott Will & Emery

Sanctions Are Appropriate for Factual Misrepresentation and Abuse of Judicial Process

Monsanto Co. v. E.I. Du Pont de Nemours & Co. - Addressing the issue of sanctions following a finding that a litigant abused the judicial process and acted in bad faith, the U.S. Court of Appeals for the Federal...more

Goodwin

SEC Sanctions Adviser Employee for Concealing Personal Securities Transactions and Misleading Chief Compliance Officer

Goodwin on

The SEC settled administrative proceedings against the former employee (the “Adviser Employee”) of an adviser for four registered funds (the “Funds”) over his failure to report personal securities transactions as required by...more

Broker-Dealer Compliance + Regulation

Giving the CCO Teeth: SEC Sanctions Portfolio Manager for Misleading CCO

The SEC brought its first action for misleading and obstructing the work of a CCO this week, finding that a portfolio manager deliberately altered documents and misled the firm’s CCO in an attempt to hide violations of the...more

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