Search for: "Lorenzo v. Securities and Exchange Commission"
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22 Apr 2024, 1:11 pm
In connection with private equity-backed public offerings, the sponsoring firm and its principals and affiliated funds are routinely named as defendants in such lawsuits—both as primary actors under Section (10)(b) of the Securities and Exchange Act of 1934 and as controlling persons under Section 15 of the Securities Act of 1933 and Section 20(a) of the Exchange Act. [read post]
4 Aug 2023, 11:04 am
Although Rule 10b-5 does make it unlawful to make false statements or omissions, the rule cannot expand liability for conduct that is not prohibited by the enabling statute.Lemelson characterizes this case as the flip side of Lorenzo v. [read post]
27 Mar 2023, 9:01 pm
As discussed in our 2022 Mid-Year Securities Litigation Update, a number of courts have grappled with the effects of Lorenzo. [read post]
8 Sep 2022, 9:01 pm
The following year, they passed the Securities Exchange Act of 1934. [read post]
2 Aug 2022, 9:01 pm
Securities & Exchange Commission, 933 F.3d 1248, 1259-60 (10th Cir. 2019) (discussing the impact of Lorenzo). [10] See SEC v. [read post]
22 Jul 2022, 9:06 am
Supreme Court’s decision in Lorenzo v. [read post]
29 Jun 2021, 2:54 pm
Securities and Exchange Commission, 139 S.Ct. 1094 (2019) (“Lorenzo”) to revive the plaintiff’s “tacked on” scheme liability claims. [read post]
16 Mar 2020, 1:54 pm
In March, the Supreme Court held in Lorenzo v. [read post]
24 Jan 2020, 1:00 am
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
8 Oct 2019, 6:26 am
The SEC's win at the Supreme Court in Lorenzo v. [read post]
16 Sep 2019, 2:45 am
The Securities and Exchange Commission (SEC) brought an enforcement action against Malouf, and the Tenth Circuit affirmed an administrative law judge’s finding that Malouf had violated Exchange Act Rules 10b-5(a) and (c) and Sections 17(a)(1) and (a)(3) of the Securities Act. [read post]
10 Jul 2019, 9:05 pm
In its most recent securities fraud decision, Lorenzo v. [read post]
7 Jul 2019, 9:39 pm
Securities and Exchange Commission, the U.S. [read post]
4 Apr 2019, 12:44 pm
Kruglak, a partner in the New York Office, analyze Lorenzo v. [read post]
3 Apr 2019, 3:40 am
Securities and Exchange Commission, in which the court held that a defendant can be charged with violating federal law barring fraudulent securities schemes if he distributed, but did not make, false statements. [read post]
1 Apr 2019, 6:59 pm
In Lorenzo, the court addressed an action by the Securities and Exchange Commission (SEC) against the director of investment banking at a brokerage. [read post]
1 Apr 2019, 10:29 am
See Securities & Exchange Comm. v. [read post]
28 Mar 2019, 11:25 am
“Securities fraud” is when some person involved in the securities field engages in conduct prohibited by that the Securities and Exchange Commission (the “SEC”) or Congress. [read post]
28 Mar 2019, 4:13 am
Securities and Exchange Commission that a defendant can be charged with violating federal law barring fraudulent securities schemes if he distributed, but did not make, false statements. [read post]
27 Mar 2019, 2:33 pm
Securities and Exchange Commission can be found here. [read post]
