Defense Strategies, Securities Fraud, Enforcement Actions

MoForecast: Predictions on State Attorneys General Securities Fraud Enforcement

Morrison & Foerster LLP on 1/30/2025

Morrison Foerster partner Carrie H. Cohen, global co-chair of the Investigations + White Collar Defense Group and State + Local Government Enforcement team, spoke with Edward Imperatore, a partner in MoFo’s Investigations +...more

10 Keys to Winning Securities Litigation Cases

Oberheiden P.C. on 10/11/2022

Securities litigation presents substantial risks for companies, firms, and individuals accused of violating federal law, U.S. Securities and Exchange Commission (SEC) regulations, or Financial Industry Regulatory Authority...more

The SEC Investigation Process: An Overview

Oberheiden P.C. on 9/7/2021

The U.S. Securities and Exchange Commission (SEC) investigates companies, brokerage firms, and individuals for a broad range of statutory and regulatory violations. These investigations can lead to civil or administrative...more

The 5 + 5 + 5 of SEC Defense

Oberheiden P.C. on 5/4/2021

The U.S. Securities and Exchange Commission (SEC) investigates companies (and individuals) for a broad range of federal offenses. This includes offenses that are both civil and criminal in nature, and that can carry penalties...more

Defending Against Securities Fraud Litigation Triggered by an SEC Investigation

Oberheiden P.C. on 10/24/2020

For public and private companies in all industries, the risk of being targeted in a U.S. Securities and Exchange Commission (SEC) investigation is a very real concern. As new and innovative securities offerings continue to be...more

Bar Orders Must Be Integral To Settlement in Order To Be Essential

Carlton Fields on 9/1/2020

Bar orders have been a useful tool in resolving various types of litigation. These include claims against companies that are in bankruptcy or receivership....more