‘Enforcement 40’ for 2020
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By Securities Docket on February 23, 2016, 11:53 am
Roel Campos and Terence Healy join Hughes Hubbard & Reed from Locke Lord.
Posted in People, Top | Tagged Lawyers, Regulators
By Securities Docket on February 23, 2016, 11:28 am
Ms. Mehraban’s statements do little to lessen the concerns of directors and other “gatekeepers” over the SEC’s recent emphasis on bringing enforcement actions against individuals. Enforcement decisions still depend on whether the staff believes gatekeepers have behaved “unreasonably” or failed to be sufficiently proactive in the face of red flags. This is particularly alarming in […]
Posted in SEC, Top | Tagged Gatekeepers
By Securities Docket on February 23, 2016, 10:03 am
U.S. District Judge Shira Scheindlin of the Southern District of New York recently certified a class in Strougo v. Barclays PLC, 14 Civ. 5797 (SAS), (S.D.N.Y. Feb. 2, 2016), a high-profile securities class action based on the “price maintenance” theory. The plaintiffs alleged that Barclays made false or misleading statements by overstating the transparency and […]
Posted in Class Actions, Top | Tagged Barclays
By Securities Docket on February 23, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for February 22, 2016.
By Securities Docket on February 23, 2016, 8:52 am
A senior Securities and Exchange Commission official Friday hit back at suggestions the agency is gaining an unfair edge over defendants by sending more cases to its in-house judges, rather than to federal court. Matthew Solomon, head of the SEC’s trials unit, said claims that the agency enjoyed a home-court advantage at its in-house tribunal are “garbage.” […]