On July 14, 2016, the Securities and Exchange Commission announced the settlement of an enforcement action against RiverFront Investment Group (“RiverFront”), an investment advisory firm, for failing to properly prepare...more
Government investigations and white collar litigation matters often lead to class action lawsuits by plaintiffs. The Subject to Inquiry Blog takes this opportunity to highlight the potential effects the death of the late...more
2/22/2016
/ Class Action ,
Fair Credit Reporting Act (FCRA) ,
Fair Labor Standards Act (FLSA) ,
FRCP 23 ,
Justice Scalia ,
Microsoft v Baker ,
SCOTUS ,
Spokeo v Robins ,
Standing ,
Tyson Foods v Bouaphakeo ,
Voluntary Dismissals ,
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On Monday, August 3, 2015, Pacific Investment Management Co. LLC (Pimco) announced that it had received a Wells notice from the Securities and Exchange Commission concerning the valuation of certain nonagency mortgage-backed...more
On Monday, March 2, the Securities and Exchange Commission (SEC) announced that it will award between $475,000 and $575,000 to a corporate officer who reported “high quality, original information” about a securities fraud....more