News & Analysis as of July 29, 2025

Securities Fraud

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

SEC and DOJ Warm Up to Enforcement over AI Washing

Holland & Knight LLP on 7/10/2025

In the first artificial intelligence (AI)-washing enforcement cases brought by the SEC and U.S. Department of Justice (DOJ) under the Trump Administration, on April 9, 2025, the SEC and the U.S. Attorney's Office for the...more

SEC v. SolarWinds: Court Dismisses the Majority of the SEC’s Securities Fraud Claims

Fenwick & West LLP on 7/24/2024

On July 18, Judge Paul Engelmayer of the Southern District of New York issued a lengthy order dismissing the majority of the SEC’s enforcement case against SolarWinds Corporation (SolarWinds) and its CISO, Timothy Brown. The...more

SEC Charges Adviser and its Principal in Illegal Short Selling Scheme

Seward & Kissel LLP on 6/19/2023

Who may be interested: Investment advisers, broker-dealers. Quick Take: The SEC recently filed a lawsuit charging an investment adviser and its managing partner (collectively, the Adviser) with allegedly engaging in a...more

This Week In Securities Litigation

Dorsey & Whitney LLP on 8/7/2015

The SEC issued its final Dodd-Frank pay ratio rules this week by a 3-2 vote. It also issued its final registration rules for Security-Based Swap Dealers and Major Security-Based swap participants. More questions were...more

Second Circuit Clarifies that Allegations of Direct Fraudulent Representations Are Not Necessary for Market Manipulation Claims...

Sheppard Mullin Richter & Hampton LLP on 2/12/2015

In Fezzani v. Bear, Stearns & Co., Inc., No. 14-3983, 2015 WL 400547 (2d Cir. Jan. 30, 2015) (“Fezzani II”), the United States Court of Appeals for the Second Circuit clarified its opinion in Fezzani v. Bear, Stearns & Co.,...more

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