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Searching Content indexed under Securities by Richard Rosenfeld ordered by Published Date Descending.
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Salman v. United States: Supreme Court Considers Heightened Personal Benefit Standard For Tipper/Tippee Insider Trading Liability
On October 5, 2016, the United States Supreme Court began hearing argument in Salman v. United States, one of the most closely watched insider trading cases to reach the high court...
United States
6 Oct 2016
2
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
3
US Second Circuit Heightens the Standard of Proof Required To Sustain Tipper/Tippee Insider Trading Convictions
On December 10, 2014, in United States v. Newman, et al., the US Court of Appeals for the Second Circuit clarified the elements required to establish insider trading ..
United States
16 Dec 2014
4
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
5
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
6
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
7
The SEC Requires Hedge Fund Harbinger Capital and its Manager Falcone to Admit Wrongdoing in Landmark Settlement
The US Securities and Exchange Commission (SEC) recently announced that Philip A. Falcone, a New York-based hedge fund advisor, and the hedge fund he managed, Harbinger Capital Partners LLC (Harbinger Capital), have agreed to settle allegations of misappropriation of client assets, market manipulation and client betrayal.
United States
22 Aug 2013
8
A Brave New SEC? The SEC Rejects Proposed Settlement with Hedge Fund Harbinger Capital and Its Manager Falcone
In a regulatory filing made on July 19, 2013, Harbinger Group, Inc. (Harbinger Group), a publicly traded investment company, announced that the US Securities and Exchange Commission (SEC) had rejected an agreement in principle that Harbinger Group had reached with the staff of the SEC’s Enforcement Division.
United States
20 Jul 2013
9
US Court of Appeals for the Second Circuit Holds Rapid Post-Fraud Stock Rebound Does Not Bar Securities Fraud Suit
The failure to allege economic loss and loss causation—essential elements of a securities fraud claim—should be fatal to a Rule 10b-5 complaint.
United States
6 Aug 2012
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