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Securities
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The Securities Law Blog
SEC Charges Morgan Stanley Smith Barney for Policy Deficiencies that Resulted in Failure to Prevent and Detect its Financial Advisors’ Theft of Investor Funds
The Securities and Exchange Commission today charged Morgan Stanley Smith Barney LLC (MSSB) with failing to reasonably supervise four investment adviser and registered representatives (hereafter, financial advisors) who stole millions…
SEC Actions
This Week In Securities Litigation (Week of December 9, 2024)
The commission filed three new enforcement actions last week. One focused on false statements while as second focused on books and records. The third action centered on cherry picking Be…
The Capital Commitment
2024 SEC Enforcement Results – Takeaways for Fund Managers
By Joshua M. Newville, Robert Pommer
On November 22, 2024, the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2024. Below are some key takeaways for fund managers: Total enforcement actions were down from…
SEC Actions
This Week In Securities Litigation (Week of December 2, 2024)
Last week as many celebrated Thanksgiving the Commission filed three new enforcement actions. One focused on Rule 105 compliance, a second on muni registration and a third on an offering…
Securities Law Prof Blog
New Securities Law Article in Print
The following law review article relating to securities regulation is now available in paper format:Sidney Edgar, Note, Navigating the "Wild West" of Cryptocurrency: Creating a Clear Path towards Regulation, 51…
SEC Actions
This Week In Securities Litigation (Week of November 25, 2024)
The Commission filed a series of new cases last week. The filings included an action based on cherry picking, one focused on international banking and bribery in violation of the…
The D&O Diary
U.S. Supreme Court Dismisses Facebook Case, Saying Writ Improvidently Granted
The current Supreme Court term promised to be an interesting one from a securities law standpoint, as the Court had agreed to take up two cases dealing with key securities…
The D&O Diary
Antitrust Enforcement Action Against VISA Leads to Follow-On Securities Suit
As I have previously noted on this site (for example, here), a long-standing and frequently recurring litigation pattern has been the filing of a corporate or securities lawsuit in the…
The D&O Diary
Toy Company Hit with Pandemic-Related Securities Suit
One of the more interesting developments in the securities litigation arena over the past several years has been the continuing influx of pandemic-related securities class action lawsuit filings. Here we…
SEC Actions
This Week In Securities Litigation (Week of November 18, 2024)
Last week the Commission filed four new enforcement actions. They were centered on Reg. BI, insider trading, a note scheme and an accounting fraud. Be careful, be safe this week…