Topic
Securities Law Violations
26 published works
Dispute Resolution Blog
Scope of summoning Indian nationals for virtual testimonies by Securities and Exchange Commission- Legal limits by local laws and international cooperation framework
By Karan Khanna, Pallavi Choudhary, CAM Disputes Team
Introduction International law enforcement authorities are increasingly relying on mutual cooperation to obtain evidence or information outside their jurisdictional authority. Conducting joint investigations into prospective securities law violations, spanning countries,…
Compliance Building
More Whistleblower Actions
The Denver office of the Securities and Exchange Commission has rolled up a bunch more whistleblower rule violations. This follows up with last week’s settlement with Nationwide Planning for impeding…
California Corporate & Securities Law Blog
Does The SEC's Jurisdiction Really Extend To Any Person?
Last week, the Securities and Exchange Commission announced that it had settled charges against a broker-dealer and two investment advisers for impeding their clients from reporting securities law violations to…
Legal Profession Blog
Attorney Resigns After Securities Consent Judgment
The Oklahoma Supreme Court has accepted an attorney's resignationThe United States Securities and Exchange Commission filed a complaint in federal court against Respondent, claiming violations of various securities laws. Specifically,…
Whistleblower Law Collaborative Blog and News
SEC Issues Largest Ever Whistleblower Award
In a monumental development, the Securities and Exchange Commission (SEC) announced it has issued its largest ever whistleblower award of $279 million. This historic achievement underscores the remarkable success and…
Corporate Governance & Internal Investigations Advisor
SEC Announces Largest Whistleblower Award of 2020 – Over $27 Million
The Securities and Exchange Commission (the “SEC”) announced a whistleblower award of more than $27 million, representing the largest SEC whistleblower award of 2020. This is the sixth largest award…
Wiley Executive Summary
No Duty to Defend or Indemnify Due to Securities Exclusion, Consumer Protection Law Exclusion, and Investment Performance Exclusion, but Insurer Cannot Recoup Defense Costs
Applying Wisconsin law, a federal district court has held that an insurer owed no duty to defend or indemnify its insureds because exclusions for claims arising from violations of securities…
SEC Actions
SEC Prevails on Summary Judgment Against Recidivist
While the partial government shutdown continued the courts were able to remain open, although their websites were not updated. Agencies such as the SEC reduced their staff to a comparative…
Capital Markets
Locke Lord QuickStudy: An Unasserted Lesson of the SEC’s Yahoo Cyberbreach Enforcement Action
Click here for PDF Much has already been written about the SEC’s enforcement action involving Yahoo’s failure to adequately disclose a cyberbreach.1 I am writing about something that the SEC’s announcement…
Government Contracts & Investigations Blog
Supreme Court Resolves Circuit Split on Scope of Whistleblower Protections
On February 21, 2018, the Supreme Court issued a pivotal decision narrowing the definition of a whistleblower under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank,”…