The SEC Enforcement Division’s activity, as well as the money it recovered, were up in 2019. But the numbers don’t tell the whole story.
- Corporate Counsel InsightNewsPrint Edition
Supreme Court: Messengers of False Statements Still Liable for Securities Fraud
Decision in Lorenzo v. SEC could rope in more defendants in 10b-5 rule claims and charges
When the Securities and Exchange Commission or private investors go after corporate figures for making false…
In the Securities and Exchange Commission’s latest collection of statistics, companies and their counsel can see an agency trying to do more with less.
CORRECTION: This article originally incorrectly identified the firm where Robert Davenport was of counsel. He worked…
With potentially dramatic regulatory changes coming in 2017, Davis Graham & Stubbs attorneys hosted a panel on what public companies might face in the coming year.
The 10th Circuit Court of Appeals declared the Securities and Exchange Commission’s use of administrative law judges is unconstitutional; now hundreds of admiministrative decisions as well the appointments of other administrative judges could be in question.