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WilmerHale

COVID-19: Lessons from the Second Wave of Securities Fraud Class Actions

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While the global pandemic may have disrupted many industries, it has not stopped plaintiffs from continuing to file COVID-19-related securities fraud class actions under Section 10(b) of the Securities Exchange Act. As we...more

Buchalter

California Regulatory Happenings - August 2019

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This ruling formally initiates the “procurement track” as outlined in Decision (D.) 19-04-040. The ruling generally describes the scope and content of the procurement track, and seeks comments from parties on its framing and...more

Bradley Arant Boult Cummings LLP

Summary Judgment: Recent HIPAA Case Emphasizes Encryption, Action on Risk Analysis - AHLA Health Information and Technology...

On June 18, 2018, the U.S. Department of Health and Human Services (“HHS”) Office for Civil Rights (“OCR”) announced that an HHS Administrative Law Judge (“ALJ”) granted summary judgment to OCR in an enforcement action...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Arkansas Pollution Control and Ecology Commission Regulation No. 8 (Administrative Procedures): Revised Draft Revisions

The Arkansas Department of Environmental Quality (“ADEQ”) recently posted revised draft revisions to Arkansas Pollution Control and Ecology Commission No. 8 (Administrative Procedures)(“Reg. 8”). These revisions are a...more

McGuireWoods LLP

Supreme Court to Decide Constitutionality of SEC Administrative Judge Hiring Process

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The U.S. Supreme Court will decide a longstanding controversy regarding the validity of the appointment process for Securities and Exchange Commission (SEC) administrative law judges (ALJs). The decision will impact the...more

Best Best & Krieger LLP

Legislation to Alter State Water Rights Enforcement Action Processes Fails

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California Gov. Jerry Brown vetoed AB 313, which would have shifted the hearing process for certain water rights enforcement actions to a new Water Rights Division within the Office of Administrative Hearings. However, his...more

Holland & Knight LLP

DOJ Filing Lawsuits Against U.S. Companies Allegedly Discriminating Against Americans

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The U.S. Department of Justice (DOJ) announced on Sept. 28, 2017, that the newly formed Immigrant and Employee Rights Section (IER) of the Civil Rights Division filed a lawsuit against an agricultural producer headquartered...more

Katten Muchin Rosenman LLP

Bridging the Week - July 2016 #2

Michael Coscia Sentenced to Three Years’ Imprisonment for Spoofing and Commodity Fraud: Michael Coscia, the first person prosecuted and convicted under a law prohibiting spoofing that was enacted after the 2007-2008...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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Washington spent much of this week digging out from a monster snow storm which left the government closed for two full days and reporting for work on a delayed based for two others. Two recent reports from Cornerstone...more

Dorsey & Whitney LLP

SEC Trends: More Enforcement Actions, More Administrative Proceedings, Less Sanctions

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SEC enforcement is brining more actions, more administrative proceedings but obtaining lower amounts of penalties and disgorgement, according to a recent report by Cornerstone Research. SEC Enforcement Activity Against Public...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The SEC’s apparent preference for administrative proceedings as a venue for its enforcement actions continues to draw criticism. H.R. 3798 is now pending in the House of Representatives. The bill is tilted the “Due Process...more

Dorsey & Whitney LLP

DC Circuit: No Jurisdiction For Suits Re SEC Forum Selection Choice

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Suits challenging the SEC’s forum selection decisions continue to proliferate. As the trend has unfolded the Commission posted a memo on its website discussing the issue of forum selection and has proposed modifications to...more

McGuireWoods LLP

SEC Proposes to Amend Rules Governing Administrative Proceedings

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On September 24, 2015, the Securities and Exchange Commission (SEC) issued a press release announcing proposed amendments to its Rules of Practice governing administrative proceedings. The announcement comes at a critical...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The Commission responded to critics of its administrative proceedings this week, proposing changes to the Rules of Practice which govern them. If adopted the new rules would modify the time period within which the actions...more

The Volkov Law Group

Slowing Down the SEC Administrative Train

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I am convinced that the law eventually reaches the “right” solution. There may be disastrous detours along the way, but in the end the law will adapt to reach the right result. Of course, our history is replete with instances...more

Goodwin

Federal Court Deflates, For Now, SEC’s Efforts to Proceed Before Its In-house Courts

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A federal judge in Manhattan recently granted a preliminary injunction against the Securities and Exchange Commission in the latest of a series of rulings raising issues with the SEC’s use of in-house proceedings before its...more

Akin Gump Strauss Hauer & Feld LLP

SDNY Judge Berman Enjoins SEC Administrative Proceeding as "Likely Unconstitutional"

In recent years, taking advantage of expanded jurisdictional provisions in Dodd-Frank, the U.S. Securities and Exchange Commission (SEC) has brought an increasing number of enforcement actions, including complex matters with...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending August 14, 2015)

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A second insider trading action was brought by the Commission against a senior banking official based on the same take-over for which he was previously charged — but a different securities trading account is at the center of...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The SEC filed three actions following-up on its settled proceeding against Oppenheimer for selling millions of shares of unregistered penny stocks. Each individual settled with the agency. In addition, the Commission brought...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The U.S. Chamber of Commerce published a report containing a series of recommendations regarding the SEC’s Enforcement program. Several recommendations focused on the use of administrative proceedings, including one which...more

K&L Gates LLP

CFPB Issues Final Decision in In Re: PHH Corp.: First Agency Decision in Contested Administrative Proceeding

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Earlier this month, the Consumer Financial Protection Bureau (CFPB) issued the Director’s final decision in the CFPB’s enforcement action against PHH Corp. (PPH). The decision is the agency’s first ruling in a contested...more

Parker Poe Adams & Bernstein LLP

The SEC Justifies its Home Court Advantage

In virtually every sport, playing on one’s “home court” is recognized as a distinct advantage over a visiting team as a result of playing on a familiar field and in front of rabid fans. The same is true in virtually every...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The question of forum selection by the SEC was a key issue this week. While to date suits challenging the SEC’s right to bring an action as an administrative proceeding rather than in federal court have had little success –...more

Stinson - Corporate & Securities Law Blog

Court Enters Preliminary Injunction Against SEC Administrative Proceeding

The United States District Court for the Northern District of Georgia, Atlanta Division, has entered a preliminary injunction preventing the SEC from conducting an administrative proceeding in an insider trading matter. The...more

Holland & Knight LLP

SEC Division of Enforcement Provides Guidance on Forum Selection

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The SEC generally can bring enforcement actions in either of two forums – a civil action in federal District Court or an SEC administrative proceeding (and/or cease-and-desist proceeding) before an administrative law judge....more

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