The current amended Federal Rules of Civil Procedure—and, in particular, those that address the practice of civil discovery—are the product of five years of development, debate, and, of course, dialogue. Now that the Rules...more
The current amended Federal Rules of Civil Procedure—and, in particular, those that address the practice of civil discovery—are the product of five years of development, debate, and, of course, dialogue. Now that the Rules...more
The current amended Federal Rules of Civil Procedure—and, in particular, those that address the practice of civil discovery—are the product of five years of development, debate, and, of course, dialogue. Now that the Rules...more
The current amended Federal Rules of Civil Procedure—and, in particular, those that address the practice of civil discovery—are the product of five years of development, debate, and, of course, dialogue. Now that the Rules...more
Despite a decline in enforcement actions by the Securities Exchange Commission (“SEC”) and the Department of Justice (“DOJ”), the first half of 2015 has continued to highlight the relevance and ever-evolving effects of the...more
10/14/2015
/ Aerospace ,
Africa ,
Angola ,
Anti-Bribery ,
Anti-Corruption ,
Anti-Money Laundering ,
Avon ,
BHP Billiton ,
Brazil ,
Bribery ,
China ,
Clean Companies Act ,
Compliance ,
Corruption ,
Criminal Investigations ,
Criminal Prosecution ,
Deferred Prosecution Agreements ,
Department of Justice (DOJ) ,
Derivative Suit ,
DPA ,
Eli Lilly ,
Enforcement Actions ,
Federal Contractors ,
Federal Prosecutors ,
Fokker ,
Football ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Goodyear ,
Hospitality Programs ,
India ,
Indictments ,
Medicaid ,
Medicare ,
Money Laundering ,
Olympics ,
PBSJ Corporation ,
PetroTiger ,
Popular ,
Public Utility ,
Racketeering ,
Russia ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Serious Fraud Office (SFO) ,
Settlement ,
Soccer ,
Sports ,
State-Owned Enterprises ,
Subject Matter Jurisdiction ,
UK Bribery Act ,
Wal-Mart ,
Whistleblowers ,
White Collar Crimes ,
Wire Fraud ,
World Cup
Welcome to the 2015 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we...more
8/5/2015
/ 401k ,
Administrative Procedure Act ,
Bank of New York (BNY) Mellon ,
Broker-Dealer ,
CFTC ,
Commodities ,
Commodity Exchange Act (CEA) ,
Conflicts of Interest ,
Cybersecurity ,
Department of Justice (DOJ) ,
Dodd-Frank ,
Duty to Monitor ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
False Statements ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Form 10-Q ,
Futures ,
Hedge Funds ,
Insider Trading ,
Interest Rates ,
Investment Adviser ,
KBR (formerly Kellogg Brown & Root) ,
Libor ,
Loss Causation ,
Merrill Lynch ,
Omnicare v Laborers District Council ,
OMWI ,
Pensions ,
Perez v Mortage Bankers Assoc ,
Popular ,
Registration Statement ,
Regulation SHO ,
RICO ,
RMBS ,
Scienter ,
SCOTUS ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Litigation ,
SLUSA ,
Stocks ,
Tibble v Edison Int ,
Tippees ,
UK ,
US v Newman ,
Whistleblowers
On March 24, 2015, the U.S. Supreme Court unanimously decided the closely followed case of Omnicare v. Laborers District Council Construction Industry Pension Fund concerning liability for false statements of opinion made in...more
In This Issue:
- I. Supreme Court Cases Review
- II. Securities Law Cases
- III. Insider Trading Cases
- IV. Settlements
- V. Investment Adviser and Hedge Fund Cases
- VI. CFTC Cases and...more
2/10/2015
/ CFTC ,
Compliance ,
Enforcement ,
Enforcement Actions ,
Financial Institutions ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Tolling
In a closely followed appeal, the United States Court of Appeals for the Second Circuit on December 10, 2014, delivered an important decision in United States v. Newman by vacating the insider trading convictions of two...more
Welcome to the 2014 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. Its purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we...more
7/31/2014
/ Banking Sector ,
Banks ,
CFTC ,
Commodities ,
Deferred Prosecution Agreements ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement ,
Enforcement Actions ,
FIfth Third Bancorp v Dudenhoeffer ,
Financial Institutions ,
Futures ,
Halliburton v Erica P. John Fund ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
Investment Funds ,
Municipal Securities Issuers ,
Publicly-Traded Companies ,
Risk Alert ,
SCOTUS ,
Securities ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Stock Drop Litigation ,
Whistleblower Awards
Cybersecurity has increasingly become a critical issue for all types of businesses, few more so than broker-dealers, investment advisers and others in the financial sector. The cyber threat is much broader than customer data...more
5/7/2014
/ Audits ,
Broker-Dealer ,
CFTC ,
Cyber Attacks ,
Cybersecurity ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
NIST ,
OCIE ,
Personally Identifiable Information ,
Regulation S-P ,
Risk Assessment ,
Securities and Exchange Commission (SEC) ,
Security Audits
We are pleased to share with you the 2013 Year-End Highlights Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team, a periodic survey, in addition to our Executive Alerts, which...more
The recent issuance of frequently asked questions and interpretive answers by the SEC's Division of Trading and Markets (the "FAQs") clarifies a "disturbingly murky" area of the federal securities law -- namely, what facts...more
We like our litigation to be decided on the merits. Sanctions motions based on unsupported claims of spoliation create expensive sideshows that distract from the merits. And sometimes – although perhaps not frequently enough...more
Hedge fund and other private investment fund managers, both domestic and foreign, those registered or not, beware. SEC Chairman Mary Jo White's crackdown on securities violations continued last Tuesday with the announcement...more
Last Friday, the SEC, FINRA and CFTC issued joint guidance (Joint Guidance) on the "best practices and lessons learned" from their review of the business continuity and disaster recovery plans of firms as a result of the...more
On July 31, 2013, the U.S. Securities and Exchange Commission (SEC) announced that two investment advisers allegedly failed to seek best execution on client trades placed with their in-house brokerage divisions and misled...more
Table of Contents -
I. Supreme Court Case Review (October 2012 Term)
II. Rule 10b-5 Cases
III. Investment Adviser and Hedge Fund Cases
IV. Settlements
V. Commodities and Futures Litigation and...more
7/31/2013
/ Amgen Inc. v Connecticut Retirement Plans ,
Comcast ,
Commodities ,
Enforcement Actions ,
Gabelli v SEC ,
Hedge Funds ,
Investment Adviser ,
Rule 10b-5 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Litigation
Will a challenge to the use of predictive coding or technology-assisted review (TAR) disguised as a recusal fight capture the attention of the U.S. Supreme Court? Probably not....more