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Fraud › Enforcement Actions › Rule 10b-5

Fraud is the making of false representations or engaging in deceptive behavior in order to unlawfully secure financial or personal gain. 
Freiberger Haber LLP

Enforcement News: SEC Charges Wisconsin Resident and The LLCs That He Owns and Controls with Perpetrating a Real Estate Affinity...

Freiberger Haber LLP on

On August 1, 2025, the Securities and Exchange Commission (“SEC”) announced (here) that it charged a Wisconsin resident and three limited liability companies that he owns and controls – Investors Capital LLC, Global Investors...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: January 1, 2024

Nutter McClennen & Fish LLP on

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more

WilmerHale

The Scope Of SEC Defendants' Jury Trial Right: Part 4

WilmerHale on

This is the last of four articles examining the scope of the Seventh Amendment jury trial right as applied to the facts that set the maximum monetary penalty a judge may impose against a civil defendant in a U.S. Securities...more

Skadden, Arps, Slate, Meagher & Flom LLP

"CFTC Aims to Lower the Bar on Proving Manipulation in Pending Cases"

Skadden, Arps, Slate, Meagher & Flom LLP on

In two separate Commodity Futures Trading Commission (CFTC) enforcement actions before district courts in New York and Chicago, the CFTC has asked each court to adopt holdings that would significantly enhance the CFTC’s...more

Dorsey & Whitney LLP

Loss Causation In A Securities Fraud Case From a Stream of Small Disclosures

Dorsey & Whitney LLP on

A critical element in a Section 10(b) and Rule 10b-5 securities fraud claim for damages is loss causation. Mandated as a key component of such a claim by the PSLRA, the element provides the essential link between the alleged...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume IX, Issue 24

Katten Muchin Rosenman LLP on

In this issue: - Commissioner Kara M. Stein Calls for More Stringent Net Capital Requirements for Broker Dealers - US Marshals Service Announces Auction of Silk Road Bitcoins - Investment Adviser Accused...more

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