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Securities Exchange Act › Professional Liability

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Mintz - EB-5 Financing Viewpoints

Three Immigration Lawyers Sanctioned by the SEC for Brokering EB-5 Investments

Mintz - EB-5 Financing Viewpoints on

The Securities and Exchange Commission (SEC) has just published three new decisions in connection with administrative proceedings against two well known immigration lawyers, as well as against a third lawyer. One party has...more

Blake, Cassels & Graydon LLP

“The Donald” Trumps Condo Buyers by Avoiding Trade-mark Licensor Liability

Blake, Cassels & Graydon LLP on

United States presidential candidate Donald Trump avoided liability for alleged misrepresentations of the attributes of purchased hotel condominium units by a developer that is licensed by one of Mr. Trump’s corporate...more

Goodwin

SEC Charges Officers, Directors, Stockholders and Companies for Failure to Timely File Reports Under Sections 13 and 16 of the...

Goodwin on

The director of the SEC’s Division of Enforcement, Andrew Ceresney, said that using quantitative analytics the SEC has identified various individuals and companies with especially high rates of filing deficiencies and...more

Allen Matkins

Company Sues Former Officer For Failing To File Form 4s

Allen Matkins on

A complaint filed in the Central District of California caught my eye because it involved the rather unusual circumstance of a corporation suing a former director and officer for, among other things, failing to file reports...more

Skadden, Arps, Slate, Meagher & Flom LLP

Inside The Courts - May 2014 | Volume 6 | Issue 2

Skadden, Arps, Slate, Meagher & Flom LLP on

In This Issue: - AUDITOR LIABILITY: ..Athale v. Sinotech Energy Ltd., No. 11 Civ. 05831(AJN) (S.D.N.Y. Feb. 21, 2014) - BYLAWS: ..ATP Tour, Inc. v. Deutscher Tennis Bund (German Tennis...more

Thomas Fox - Compliance Evangelist

The SEC Talks About Chief Compliance Officers

Thomas Fox - Compliance Evangelist on

Recently, the SEC’s Division of Trading and Markets provided guidance on the potential liability of compliance and legal personnel at registered broker-dealers through a series of answers to eight Frequently Asked Questions...more

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