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‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInWhy America Should Ban Crypto – WSJ
In the U.S. in recent years, privately owned companies have issued thousands of new cryptocurrencies, large and small. These have later become publicly traded without any governmental pre-approval of disclosures. *** Such wretched excess has gone on because there is a gap in regulation. A cryptocurrency is not a currency, not a commodity, and not […]
Recent Rulings Can Help Securities Defendants Avoid Industry Bans
Federal district courts increasingly are expressing concerns about the effect being barred from the securities industry as part of a settlement will have on defendants’ livelihoods, even in cases where they acted with knowledge of wrongdoing. In three recent litigated Securities and Exchange Commission enforcement actions involving violations of the Investment Advisers Act, courts have […]
Appeals Court Upholds SEC’s Lifetime Ban Against Commercial Litigator
SEC previously alleged that lawyer tried to obtain money from another lawyer in exchange for favorable testimony.