News & Analysis as of

Preliminary Injunctions › Securities Fraud

Carlton Fields

Some Constitutional Clarity for SEC Administrative Law Courts but Uncertainty Remains

Carlton Fields on

In a 26-page decision, the U.S. District Court for the District of Columbia rejected an effort by a hedge fund manager to derail an ongoing SEC in-house “follow-on” enforcement proceeding. ...more

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for July 2024

SEC Compliance Consultants, Inc. (SEC³) on

SEC Loses in ALJ Case, DOL’s Latest Fiduciary Rule Put on Hold, and SEC Reconsiders AI and Custody Rule Proposals - Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments....more

Allen Matkins

Real Estate Development Runs Afoul Of California Securities Laws

Allen Matkins on

Yesterday, the California Department of Business Oversight issued this press release announcing that San Diego Superior Court Judge Joel R. Wohlfeil granted the DBO’s request for a temporary restraining order. The TRO bars...more

Skadden, Arps, Slate, Meagher & Flom LLP

The Distributed Ledger: Blockchain, Digital Assets and Smart Contracts - April 2019

Skadden, Arps, Slate, Meagher & Flom LLP on

In this issue, we examine the release of the much-anticipated Strategic Hub for Innovation and Financial Technology (FinHub) guidance for analyzing how U.S. federal securities laws apply to initial coin offerings, the...more

Fenwick & West LLP

Not So Fast: Court Rules Against SEC, Finding It Did Not Prove Blockvest Sold Tokens as Securities

Fenwick & West LLP on

Digital token issuers caught up in the onslaught of U.S. Securities and Exchange Commission investigations finally received some encouraging news regarding their token sales’ exposure to federal securities laws. On Tuesday,...more

A&O Shearman

Utah District Court Limits Reach Of Morrison By Holding That Section 10(b) Of The Exchange Act And Section 17(a) Of The Securities...

A&O Shearman on

On March 28, 2017, the U.S. District Court for the District of Utah granted the Securities and Exchange Commission’s (“SEC”) motion for a preliminary injunction in a securities fraud case against Traffic Monsoon, LLC, an...more

Katten Muchin Rosenman LLP

Bridging the Week - August 2015 #3

Katten Muchin Rosenman LLP on

Hackers and Traders Charged by SEC and Department of Justice in International Securities Fraud Scheme - The computer servers of three major newswire companies were allegedly hacked as part of an elaborate illicit...more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

The SEC issued its final Dodd-Frank pay ratio rules this week by a 3-2 vote. It also issued its final registration rules for Security-Based Swap Dealers and Major Security-Based swap participants. More questions were...more

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