News & Analysis as of

Cease and Desist Orders Administrative Law Judge (ALJ) Enforcement Actions

Sterne, Kessler, Goldstein & Fox P.L.L.C.

Strategic Enforcement Before the U.S. International Trade Commission – An Evaluation of Recent Enforcement Proceedings

Investigations under 19 U.S.C. § 1337 (Section 337) before the U.S. International Trade Commission can provide relief against unfair acts in the import trade. The most common causes of action include infringement of U.S....more

Burr & Forman

Negligence & Willfulness Mutually Exclusive For SEC

Burr & Forman on

Last week, the D.C. Circuit held that the SEC can’t prosecute the same conduct as both willful and as negligent under the tandem sections found in most of the nation’s securities laws. The ruling prevents the SEC from piling...more

WilmerHale

Eleventh Circuit Concludes FTC Data Security Order Unenforceable Because Standards Not Specific Enough

WilmerHale on

On June 6, the U.S. Court of Appeals for the Eleventh Circuit vacated a cease-and-desist order by the Federal Trade Commission (FTC) issued against LabMD, Inc. (LabMD) arising from an FTC enforcement action alleging that...more

Stinson - Corporate & Securities Law Blog

Duka Beats Fraud Charge in SEC Administrative Court

Barbara Duka was an employee of Standard & Poor’s Ratings Services. The SEC contended that Duka loosened S&P’s methodology for rating commercial mortgage-backed securities to help the company generate ratings business from...more

Dorsey & Whitney LLP

SEC ALJ Dismisses Insider Trading Claims Based on Dirks-Newman

Dorsey & Whitney LLP on

When the Second Circuit handed down Newman the SEC joined with the Manhattan U.S. Attorney seeking rehearing en banc and arguing that the case would significantly hinder insider trading enforcement. Many wondered if the...more

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