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Misleading Statements Fraud Settlement

Kaufman & Canoles

K&C Sports & Entertainment Law Weekly Roundup - December 2024

Kaufman & Canoles on

The Canadian Hockey League and its affiliate organizations have been dismissed from an antitrust suit alleging they entered unlawful deals allowing them to exploit junior players and illegally profit from their labor....more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: March 1, 2024

The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more

BakerHostetler

Best Practices for Investment Advisers on Trade Execution: An Analysis of Two Recent SEC Settlements

BakerHostetler on

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

Troutman Pepper

SEC Settles With The City Of Harrisburg: Case Presents A Teaching Moment For Other Municipalities

Troutman Pepper on

On May 7, 2013 the Securities and Exchange Commission (SEC) and the City of Harrisburg, Pennsylvania concluded a years-long SEC investigation in a first-of-its kind settlement....more

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