Search for: "Securities and Exchange Commission v. Hill"
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6 Jul 2015, 6:50 am
Hill, Jr. [read post]
5 Mar 2020, 3:51 am
Securities and Exchange Commission, which asks whether the SEC can seek disgorgement of profits as a remedy in court for violating the securities-fraud laws, for this blog. [read post]
31 Oct 2011, 9:38 am
Here’s a summary from Sara Randazzo of Am Law Daily: A former Nixon Peabody partner caught up in a Securities and Exchange Commission investigation of a former client’s alleged securities fraud sued the firm this week, claiming Nixon made him a scapegoat in the matter and took most of his $1.5 million book of business out from under him. [read post]
20 Apr 2017, 4:18 am
Securities and Exchange Commission, which asks whether a federal statute of limitations on civil penalties and forfeitures applies to disgorgements. [read post]
26 Feb 2018, 4:32 am
Somers, in which the court ruled that the anti-retaliation provision of the Dodd-Frank Act does not apply to a whistleblower who has not first reported a violation to the Securities and Exchange Commission, calling the outcome “a double-edged sword for employers. [read post]
23 Jul 2015, 6:28 pm
In Hill v. [read post]
18 Apr 2018, 4:08 am
Securities and Exchange Commission, which asks whether SEC administrative law judges are “officers of the United States” within the meaning of the appointments clause, is “as far as I know the only case in any court where corpus [linguistics] analysis has been used in a brief in connection with an issue of constitutional interpretation. [read post]
1 Feb 2018, 11:50 am
Julia Solomon-Strauss and Stephen Szrom discussed the latest developments in United States v. al-Nashiri. [read post]
29 Jun 2022, 4:29 am
Ellen Mitchell reports for The Hill. [read post]
1 Mar 2013, 6:15 am
Securities and Exchange Commission, in which the Court rejected the SEC’s interpretation and held that the five-year statute of limitations during which the SEC may seek civil penalties for securities fraud against investment advisors begins not when the fraud is discovered, but when it occurs. [read post]
27 May 2014, 4:23 am
Securities and Exchange Commission who now sits on the board of the private equity firm KKR & Co – had in hand a 78-page paper larded with more than 400 footnotes. [read post]
3 Jan 2024, 7:54 am
Securities & Exchange Commission v. [read post]
7 Mar 2017, 4:09 am
Securities and Exchange Commission, to hold that the five-year statute of limitations on SEC enforcement actions applies to actions seeking disgorgement, arguing that the “agency has brought disgorgement actions not to make the victims of wrongdoing whole, aid in public securities-law enforcement, or encourage private compliance, but to punish unsuspecting defendants for decades-old conduct, destroy their reputations and careers, and score massive financial… [read post]
10 Dec 2011, 6:20 am
These stings are as old as the hills and well-publicized. [read post]
12 Jul 2017, 12:21 pm
Lemen (Cal. 2007); Hill v. [read post]
16 Apr 2018, 4:48 pm
In the seminal prime bank case SEC v. [read post]
2 Jun 2016, 9:30 pm
Securities and Exchange Commission’s (SEC) administrative law judges by Lynn Tilton, an investment adviser who the SEC has charged with fraud, the U.S. [read post]
14 Apr 2016, 11:05 am
” The Hill has more. [read post]
22 Jul 2022, 5:07 am
With respect to those rulemakings, Beller recalled that there was lots of communication between SEC staff and the Commission and that there was remarkably little ego involved in the whole process with no push back from Congress on what the Commission ultimately implemented. [read post]
14 Mar 2017, 4:27 am
Securities and Exchange Commission, in which the court will decide whether that the five-year statute of limitations on SEC enforcement actions applies to actions seeking disgorgement, arguing that “prior precedent, along with the historical practice, strongly suggests that the SEC is trying to circumvent the statute by essentially calling a dog a cat. [read post]
