Searching Content by Dan O'Connor from Ropes & Gray LLP ordered by Published Date Descending.
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Supreme Court Expands Scope Of Liability For Securities Fraud
On March 27, 2019, the U.S. Supreme Court issued a 6-2 decision in Lorenzo v. SEC holding that an individual who is not a "maker" of a misstatement under Janus v. First Derivative Traders,
United States
11 Apr 2019
SEC Activity With Fixed Income And Credit Funds (Video)
Dan O'Connor, co-leader of Ropes & Gray's securities & futures enforcement practice, addresses the recent uptick in how the SEC is approaching issues at fixed income and credit funds.
United States
13 Jun 2018
SEC Announces A Maximum Whistleblower Award To An Employee Who Faced Employment Retaliation As A Consequence Of Reporting Dodd-Frank Act Violations To The Commission
In June of last year, Paradigm Capital Management agreed to pay the SEC nearly $2 million to settle allegations that it violated the Dodd-Frank Act's conflict-of-interest rules...
United States
5 May 2015
Business & Securities Litigation Attorneys Outline Key Considerations for Public Companies Responding to SEC Comment Letters
The article reviews the Securities and Exchange Commission's enforcement actions against public companies and highlights key considerations for public companies responding to comment letters from the SEC's Division of Corporate Finance.
United States
21 Sep 2013
Admitting Guilt: The SEC’s New Settlement Policy
On June 18, 2013, Securities and Exchange Commission Chair Mary Jo White announced that the SEC will require certain respondents to admit wrongdoing as a condition of settling enforcement cases brought by the Commission.
United States
9 Sep 2013
New SEC Enforcement Action Highlights The Unique Role Advisors Play In China-Based Reverse Takeover Companies And Due Diligence Problems They Can Create For PE Investors
A new enforcement action by the U.S. Securities and Exchange Commission (SEC) against a financial advisor who specializes in assisting China-based businesses that become U.S. public companies through reverse takeovers (RTO's) highlights how such advisors present a distinct – yet often poorly understood – risk for private equity investors.
United States
8 Aug 2012
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