Month: March 2015

The SEC brought another case tied to Chinese reverse mergers. This one differs from many earlier actions which focused on the company and or the executives. This action names as defendants one broker-dealer and two of its employees as defendants. …

Underwriter, Two Employees Charged By SEC Read More »

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The Supreme Court handed down the Omnicare decision on Securities Act Section 11 liability for opinion statements this week. In a judgment joined by all nine Justices the Court reversed the Sixth Circuit, concluding that opinion statements in a registration …

This Week In Securities Litigation (Week ending March 27, 2015) Read More »

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