News & Analysis as of September 25, 2024

Securities Exchange Act › UBS

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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 Justice Insiders Podcast: Meet the Securities and Exchange (and Human Resources) Commission

Nutter Securities Enforcement Update: January 1, 2024

Nutter McClennen & Fish LLP on 1/17/2024

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more

HSBC Unit Settles Unregistered Broker-Advisor Charges With SEC

Dorsey & Whitney LLP on 12/1/2014

A Swiss unit of U.K. financial services giant HSBC Holdings plc. settled charges that the firm repeatedly sold securities and rendered advisory services in the U.S. without registering with the Commission despite legal advice...more

Court Reverses Itself and Dismisses RMBS Fraud Complaint Against Several Banks

Orrick - Finance 20/20 on 10/13/2014

On September 30, Judge Sam Lindsay of the U.S. District Court for the Northern District of Texas granted a motion to dismiss plaintiff Town North Bank’s amended complaint against UBS, Morgan Stanley, Merrill Lynch, and J.P....more

Second Circuit Rejects the “Listing Theory” Under Morrison

Dorsey & Whitney LLP on 5/12/2014

At the end of last month the Second Circuit clarified its position on the application of Morrison v. National Australia Bank Ltd., 130 S. Ct. 2869 (2010) to RICO. Now the Circuit Court had resolved an open question regarding...more

Orrick's Financial Industry Week in Review - September 16, 2013

Orrick, Herrington & Sutcliffe LLP on 9/16/2013

UBS Settles RMBS Claims Brought by the FHFA - On September 4, Judge Mariana Pfaelzer of the U.S. District Court for the Central District of California entered an order dismissing with prejudice the Federal Housing...more

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