Insights
March 4, 2014
On February 26, 2014, the Supreme Court decided Chadbourne & Parke LLP v. Troice , 571 U.S. ___ (2014), ruling by a 7-2 vote that the Securities Litigation Uniform Standards Act of 1998 (“SL...
February 24, 2014
Last week, Scottrade Inc. became the latest entity to admit wrongdoing in connection with settling SEC charges. In a January 29, 2014 administrative order, the brokerage firm not only agreed to a $2.5...
November 26, 2013
The SEC has used deferred prosecutions before as a way to entice companies charged with SEC violations to more fully disclose their acts or be more forthcoming and helpful during an investigation. In ...
October 24, 2013
Investment advisory firm, Harding Advisory, LLC, and its owner were charged recently by the SEC for misleading investors and breaching their fiduciary duties. According to a recent press release , the...
October 1, 2013
A recent SEC press release stated that the commission filed a complaint in federal court against Jenny E. Coplan for defrauding mostly Colombian-American persons into investing in immigration bail bon...
September 24, 2013
The latest news regarding JPMorgan Chase is that the SEC fulfilled their pledge to force them to admit their wrongdoing according, to a recent InsuranceJournal.com article . JPMorgan admitted, as part...
September 19, 2013
A HuffingtonPost.com article reports the SEC is proposing a new, and hotly debated, disclosure rule for CEOs. The rule, which is actually required under the Dodd-Frank Act, will force corporations to ...
August 27, 2013
According to an SEC press release , former portfolio manager Carl Johns was sanctioned for forging documents and misleading his former firm’s chief compliance officer about his personal trades. ...
August 22, 2013
A recent press release stated that the SEC issued a stop order against Counseling International. The stop order prevented the company from offering their shares to the public. The rationale behind the...
July 10, 2013
The SEC Commission approved the Jumpstart Our Business Startups Act and the lifting of the ban on general solicitation according to the recent SEC press release . The JOBS Act is related to securities...
May 2, 2013
Armed with an argument for protecting investors’ rights, SEC member Luis Aguilar went before the North America Securities Administrators Association’s annual conference in Washington, D.C ...
April 11, 2013
A recent press by the Secretary of State for the State of Mississippi announced that the SEC has published their proposed plan for fund distribution to those injured by Morgan Keegan investments. This...
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