News & Analysis as of

Fraud › Securities Exchange Act of 1934 › Securities Act of 1933

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

SEC Charges Public Company with AI Washing

Lowenstein Sandler LLP on

On January 14, 2025, the U.S. Securities and Exchange Commission (SEC) charged Presto Automation Inc. (Presto) with violations of the Securities Act of 1933 and the Securities Exchange Act of 1934 for misleading artificial...more

Proskauer Rose LLP

SEC Enforcement Action Underscores Need for MNPI Policies in CLO Trading

Proskauer Rose LLP on

In a significant enforcement action, the SEC sanctioned a private fund manager for failing to establish and maintain adequate policies and procedures to prevent the misuse of material nonpublic information (MNPI) while...more

Freiberger Haber LLP

Enforcement News: SEC Brings Enforcement Action in Connection EB-5 Immigrant Investor Program

Freiberger Haber LLP on

In July of this year, we wrote about a fraud action involving the EB-5 Immigrant Investor Program (“EB-5 Program” or “Program”) (here). Under the EB-5 Program, investors are eligible for permanent residency status in the U.S....more

White & Case LLP

The SEC’s Charges Against SolarWinds and its Chief Information Security Officer Provide Important Cybersecurity Lessons for Public...

White & Case LLP on

On October 30, 2023, the US Securities and Exchange Commission ("SEC") announced that it filed charges against SolarWinds Corp. ("SolarWinds" or the "Company") and its Chief Information Security Officer ("CISO") in connection...more

Mintz - Securities Litigation Viewpoints

The Supreme Court Solidifies the Securities Act’s Tracing Requirement For Section 11 Plaintiffs

Mintz - Securities Litigation Viewpoints on

Last week, the U.S. Supreme Court solidified the “tracing” requirement for private plaintiffs to be able to assert Section 11 claims pursuant to the Securities Act of 1933, holding that plaintiffs asserting such securities...more

Foley & Lardner LLP

Scalping as Fraud But On Who?

Foley & Lardner LLP on

The past has a way of repeating itself. In 1909, the New York Supreme Court declined to enforce a contract to manipulate stock prices (which was successful), with payments due to a publisher of an investment newsletter...more

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