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Searching Content indexed under Finance and Banking by Richard Rosenfeld ordered by Published Date Descending.
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1
New York Subjects State Licensees To Whistleblower Protections
Add the New York Department of Financial Services (the "DFS" or "Department") to the veritable orchestra of governmental entities and regulatory authorities that have issued requirements
United States
20 Feb 2019
2
Commodity Futures Trading Commission Issues Advisory For Virtual Currency Pump-And-Dump Schemes
The purpose of this paper is to explain innocent actors in the virtual currency space (e.g. virtual currency exchanges, financial institutions, social media platforms) and how to avoid potential exposure...
United States
24 Aug 2018
3
No Holiday From Whistleblowers: A Scary Future Predicted For The Financial Industry
On July 30, 2016, the United States celebrated its National Whistleblower Appreciation Day.
United States
23 Sep 2016
4
Who Knew? The SEC as the Hidden Regulator of Ginnie Mae Issuers
The United States Securities and Exchange Commission ("SEC") continues to bring enforcement actions focused on government-guaranteed residential mortgage backed securities, notably including those guaranteed by the Government National Mortgage Association ("Ginnie Mae" or "GNMA").
United States
27 Jun 2016
5
US Department of Justice Brings Its First Criminal Prosecution for Spoofing of Commodities Markets
A Chicago federal grand jury has indicted Michael Coscia, formerly a registered floor trader and sole owner of Panther Energy Trading LLC, for allegedly violating the anti-spoofing provision of the Commodity Exchange Act ..
United States
15 Oct 2014
6
Presumption Against Extraterritoriality in Morrison v. National Australia Bank Extended to Private Party Whistleblower Retaliation Cases
The US Court of Appeals for the Second Circuit has ruled that the presumption against extraterritoriality applies to private party actions under Section 21(h) of the Securities Exchange Act of 1934 ("Exchange Act").
United States
26 Aug 2014
7
US Securities and Exchange Commission Settles Its First Whistleblower
The US Securities and Exchange Commission (SEC or the Commission) has announced a $2.2 million settlement in the Commission's first whistleblower anti-retaliation case.
United States
30 Jun 2014
8
US Court Of Appeals for the Second Circuit Clarifies Standard for "Domestic Transactions" Prong of Morrison
In Morrison v. National Australia Bank Ltd., the US Supreme Court sharply restricted the extraterritorial applicability of the antifraud provisions of the securities laws.
United States
25 Apr 2012
9
Southern District Court Rejects Plaintiffs’ Bid to Conceal Identities of Confidential Witnesses
In the last few years, plaintiffs in securities actions have increasingly relied on allegations attributed to "confidential witnesses."
United States
14 Mar 2012
10
Second Circuit Rejects Application of RICO to Foreign Criminal Enterprises
The US Supreme Court’s 2010 decision in Morrison v. NAB created a sea change in private securities litigation by sharply limiting the extraterritorial application of the securities laws while employing language suggesting skepticism of extraterritoriality more generally.
United States
9 Feb 2012
11
California District Court Dismisses Securities Claims Against Chinese Corporation for Failure to Plead Falsity
On November 30, 2011, Judge John A. Kronstadt of the US District Court for the Central District of California dismissed a putative class action brought by shareholders of China Century Dragon Media based on the inconsistencies between revenue and profit figures reported to the US Securities and Exchange Commission (SEC) and the Chinese State Administration for Industry and Commerce (SAIC).
United States
5 Jan 2012
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