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Securities Act of 1933 › Restitution

The Securities Act of 1933 is a United States federal statute enacted in response to the stock market crash of 1929 and the ensuing Great Depression. The Act has two primary purposes: 1) to give investors better... more +
The Securities Act of 1933 is a United States federal statute enacted in response to the stock market crash of 1929 and the ensuing Great Depression. The Act has two primary purposes: 1) to give investors better access to material information prior to investing 2) ensure that transactions are not based on fraud. In order to effectuate its dual goals, the Act requires that any offer or sale of securities is registered with the SEC. less -
Dorsey & Whitney LLP

SEC, FINRA, DC Sanction Success Trade

Dorsey & Whitney LLP on

A recurrent theme in today’s enforcement environment is parallel and often overlapping proceedings. That is the case with a District of Columbia based broker that drew sanctions from the SEC, FINRA and DC. In the Matter of...more

Pillsbury Winthrop Shaw Pittman LLP

U.S. Bank v. Indian Harbor: Another Blow to the Restitution/Disgorgement Defense

Pillsbury Winthrop Shaw Pittman LLP on

In recent years, purchasers of D&O and professional liability insurance have been stunned to learn that their carriers have denied coverage for a wide range of claims on the theory that their policies do not cover loss that...more

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