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LawFlash/Client Alert | Securities LawFlash
E. Andrew Southerling, Benjamin Klein
Changing SEC leadership defines its priorities for a new era of SEC enforcement.
LawFlash/Client Alert | Securities LawFlash
Richard Morris, Jennifer Klass, Mary Dunbar, Ivan Harris, Ben Indek, Anne Flannery
In 2012, the SEC and FINRA continued their vigorous enforcement of the securities laws, rules, and regulations—with cases against broker-dealers, investment advisers, and investment companies accounting for 38% of the SEC enforcement docket and FINRA bringing a record number of enforcement actions against its member firms and associated persons.
Morgan Lewis Title | White Paper
James Doench, Richard Morris, Katherine Milgram, Kaitlyn Piper, Jennifer Klass, Namita Mani, Kimberly Hicks, Julia Miller, Heather Hopkins, Anne Flannery, Lindsay Jackson, Katarzyna Mularczyk, Ivan Harris, Julie Marcacci, Todd Smith, Joshua Blackman, Kerry Land, Mary Dunbar, Nicholas Losurdo, John Matthews, David Behar, F. Mindy Lo, Zachary Vonnegut-Gabovitch, Ben Indek
This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") and Financial Industry Regulatory Authority ("FINRA") enforcement developments and cases regarding broker-dealers during 2012. ... more
LawFlash/Client Alert | Financial Services LawFlash
Kenneth Kliebard, Ivan Harris, Michele Coffey, Kathleen Collins
As the CFPB completes its first year of operation, much can be learned from its investigation and enforcement activity thus far.
Morgan Lewis Title | White Paper
Linda Griggs
On August 22, 2012, the Securities and Exchange Commission (the SEC) adopted annual disclosure requirements that implement Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), which requires... more
Presentation | Speech
Ben Indek
Morgan Lewis Title | White Paper
Anthony Fassano, Laura Hughes, Nicholas Schretzman, John Vassos, Brian Herman, Karen Pohlmann
Morgan Lewis is pleased to present our fourth annual review of selected decisions from the U.S. Courts of Appeal addressing private actions under the federal securities laws. We summarize below key decisions analyzing claims... more
LawFlash/Client Alert | Securities LawFlash
Anthony Fassano, Laura Hughes, Nicholas Schretzman, Brian Herman, John Vassos
In 2011, the Supreme Court and the federal circuit courts issued a number of important decisions concerning securities fraud class actions. These decisions address pleading standards, statutes of limitations defenses, class certification, and a number of other critical topics.
LawFlash/Client Alert | Securities LawFlash
Alex Kaplan, E. Andrew Southerling, Shaina Stahl, Sarah Nilson, David Snider, Casey Cohen, Ben Indek, Julia Miller, Charles Manice, Ivan Harris, Anne Flannery, Katarzyna Mularczyk, John Matthews, Kevin Rover, Julie Marcacci, Todd Smith, Kerry Land, Mary Dunbar, Nicholas Losurdo, Rahul Rao
In 2011, the SEC and FINRA continued their vigorous enforcement of the securities laws, resulting in an increase in enforcement cases brought against broker-dealers, with a 60% increase in such SEC enforcement actions and a 13.5% increase in FINRA disciplinary actions since 2010.
Morgan Lewis Title | White Paper
E. Andrew Southerling, Shaina Stahl, Casey Cohen, Ben Indek, Julia Miller, Charles Manice, David Snider, Anne Flannery, Katarzyna Mularczyk, John Matthews, Kevin Rover, Julie Marcacci, Todd Smith, Ivan Harris, Kerry Land, Mary Dunbar, Nicholas Losurdo, Rahul Rao
This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") and Financial Industry Regulatory Authority ("FINRA") enforcement developments and cases regarding broker-dealers during 2011. ... more
Presentation | Speech
Ben Indek
Presentation | Speech
Ben Indek
Presentation | Speech
Ben Indek
LawFlash/Client Alert | Securities LawFlash
Securities Practice
The Morgan Lewis Securities Litigation and Enforcement Practice has published an outline highlighting recent key U.S. Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FI... more
LawFlash/Client Alert | Securities LawFlash
Securities Practice
On June 13, in an important victory for the investment management industry, the U.S. Supreme Court held that mutual fund adviser Janus Capital Management LLC (JCM) and its parent, Janus Capital Group, Inc. (JCG), could not be he... more
LawFlash/Client Alert | Litigation LawFlash
Karen Pohlmann, Marc Sonnenfeld
In Erica P. John Fund, Inc. v. Halliburton Co. , 563 U.S. __ (June 6, 2011), the U.S. Supreme Court resolved a split in the lower courts as to whether securities fraud plaintiffs must prove loss causation to obtain class certif... more
LawFlash/Client Alert | Labor and Employment LawFlash
Labor and Employment Practice
In the latest sign that the Department of Labor (DOL) is taking a harder line against employers defending whistleblower claims under the Sarbanes-Oxley Act (SOX), the DOL's Administrative Review Board (ARB) recently ruled in S... more
LawFlash/Client Alert | Securities LawFlash
Jason Wilson, Ben Indek, Christian Mixter, Jill Baisinger, Karen Pohlmann, Marc Sonnenfeld
On March 22, the U.S. Supreme Court rejected a line of lower-court cases holding that statistically insignificant adverse event reports could not be material to the reasonable investor, see In re Carter-Wallace, Inc., Sec. Li... more
Morgan Lewis Title | White Paper
E. Andrew Southerling, Anne Flannery, Ivan Harris
As expected, hedge funds remained a predominant focus for the SEC's Enforcement program in 2010. The various insider trading actions arising out of the Galleon Management, LP scandal and the focus on expert networks captured ... more
LawFlash/Client Alert | Securities LawFlash
Christian Bartholomew, E. Andrew Southerling, Patrick Conner
At the annual "The SEC Speaks" conference on February 4 in Washington, D.C., the Securities and Exchange Commission (SEC or the Commission) Chairman Mary Schapiro and senior officials from the Division of Enforcement reported on... more
Morgan Lewis Title | White Paper
John Vassos, Brian Herman, Karen Pohlmann, Gayle Gowen
Morgan Lewis's third annual review of selected decisions from the United States Courts of Appeal addressing private actions under the federal securities laws.
LawFlash/Client Alert | Securities LawFlash
Litigation Practice
The Morgan Lewis Securities Litigation and Enforcement Practice has published an outline highlighting selected U.S. Securities and Exchange Commission (the SEC or the Commission), Financial Industry Regulatory Authority (FINRA),... more
Morgan Lewis Title | White Paper
Michael Kraut, Anne Flannery, Ben Indek, Christian Mixter, Kerry Land, David Snider, Mary Dunbar, Kevin Rover, E. Andrew Southerling, Julia Miller
This Outline highlights selected U.S. Securities and Exchange Commission (the "SEC" or the "Commission"), Financial Industry Regulatory Authority ("FINRA") and NYSE Euronext enforcement actions and developments regarding broker-... more
LawFlash/Client Alert | Securities LawFlash
Ivan Harris, Ben Indek, Christian Mixter, Meredith Auten
On December 20, the Securities and Exchange Commission (SEC or the Commission) announced that it had entered into the first nonprosecution agreement under its year-old cooperation initiative. more
Morgan Lewis Title | White Paper
Michael Kraut, Anne Flannery, Ben Indek, Kerry Land, Patrick Conner, David Snider, Mary Dunbar, Kevin Rover, E. Andrew Southerling, Julia Miller
This Outline highlights selected U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) and Financial Industry Regulatory Authority (“FINRA”) enforcement actions and developmen... more