The First Circuit, in a closely watched securities case, reversed a $93 million summary judgment ruling for the Securities and Exchange Commission this April. ...more
5/1/2025
/ Causation ,
Corporate Counsel ,
Disgorgement ,
Failure To Disclose ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Materiality ,
Revenue Sharing ,
Reversal ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Securities Regulation ,
Summary Judgment
Recently, the Securities and Exchange Commission announced the creation of a Cyber and Emerging Technologies Unit (CETU), a group of 30 fraud specialists and attorneys spread across the SEC's offices around the country to...more
In October 2024, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) announced settlements with Raytheon Company, a division of multinational defense contractor RTX, over defective pricing and...more
2/3/2025
/ Arms Export Control Act ,
Compliance ,
Corporate Misconduct ,
Defense Sector ,
Deferred Prosecution Agreements ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Export Controls ,
False Claims Act (FCA) ,
Federal Contractors ,
Foreign Corrupt Practices Act (FCPA) ,
ITAR ,
Raytheon ,
Securities and Exchange Commission (SEC) ,
Whistleblowers ,
White Collar Crimes
On November 21, 2024, a federal District Court judge in the Northern District of Texas found the Securities and Exchange Commission (SEC) acted without lawful, statutory authority in creating its new Dealer Rule....more