Year: 2015

Waivers from the automatic disqualifications of the “bad boy” provisions which can come into play following the resolution of a Commission enforcement action is a topic of increasing concern. Consider the recent decision regarding Oppenheimer for example. There the Commission …

SEC Commissioner Gallagher, The Bad Boy Provisions and Remedies Read More »

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The Commission recently filed an amicus brief defending its Dodd-Frank whistleblower rules. Those rules specify that the anti-retaliation provisions of those amendments to the Exchange Act protect those who chose not to report to the Commission but only internally. Yet …

This Week In Securities Litigation (Week ending February 20, 2015) Read More »

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