News & Analysis as of

Restitution Securities Act of 1933

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

Pillsbury Winthrop Shaw Pittman LLP

U.S. Bank v. Indian Harbor: Another Blow to the Restitution/Disgorgement Defense

In recent years, purchasers of D&O and professional liability insurance have been stunned to learn that their carriers have denied coverage for a wide range of claims on the theory that their policies do not cover loss that...more

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