Searching Content indexed under Litigation, Mediation & Arbitration by Joshua Newville ordered by Published Date Descending.
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DC Circuit Opinion Reaffirms Fiduciary And Disclosure Obligations Of Advisers While Rejecting SEC Finding Of "Willful" Violations
The DC Circuit recently released an opinion addressing the SEC's administrative findings against registered investment adviser The Robare Group (TRG)
United States
28 May 2019
SEC Extends Registration Requirements For Investment Companies And Broker Dealers To ICOs And Other Digital Assets
Fund managers take note – after over a year of warning, this month the SEC announced a pair of settlement orders with respect to registration requirements for a fund ...
United States
28 Sep 2018
Crypto Crackdown – SEC Imposes Broker-Dealer And Investment Company Registration Provisions On Token Traders And A Crypto Fund
The SEC announced a pair of settled orders on Tuesday extending additional provisions of the securities laws over ICOs and other digital assets – the agency's first ever enforcement actions of their kind.
United States
19 Sep 2018
Mt. Gox Debacle Showcases Cryptocurrency Litigation Concerns
The theft of millions of bitcoins and related failure of cryptocurrency exchange Mt. Gox—recently written about in the Wall Street Journal—provides a perfect example of how cryptocurrency-related issues ...
United States
11 Sep 2018
Veil Piercing/Alter Ego Determinations – How Fund Managers Can Protect Themselves
A veil piercing claim can be a worst-case scenario for a private fund manager dealing with a struggling portfolio company investment – the company fails, and ensuing legal claims are brought not only against the portfolio company, ...
United States
25 Sep 2017
SEC Whistleblower Enforcement Settlement Reminds Private Fund Sponsors To Review Organizational Policies And Procedures For Compliance With Governmental Whistleblower Programs
A recent SEC settlement of whistleblower charges should serve as a useful reminder for private fund sponsors to conduct a comprehensive review of their policies and procedures.
United States
15 Aug 2016
Who Wins In SEC Administrative Proceedings?
After the SEC lost five high-profile insider trading trials in 2014, this narrative seemed to fit.
United States
10 Aug 2016
SEC Adopts Amendments To Rules Governing Its Administrative Proceedings
Earlier today, the SEC announced that it will adopt certain amendments to its rules of practice governing administrative proceedings.
United States
14 Jul 2016
Whistleblower Concerns for Private Fund Advisers – Seven Mistakes To Avoid
As we have previously observed, private fund advisers face a difficult challenge when SEC guidance (in the form of a speech or a public enforcement order) indicates that certain long-standing practices may be contrary to the securities laws.
United States
28 Jun 2016
Eleventh Circuit Rules Disgorgement No Different Than Forfeiture, Barring Sec From Seeking Ill-Gotten Gains Outside Five-Year Limitations Period
A three judge panel in the Eleventh Circuit issued a ruling last Thursday in Securities and Exchange Commission v. Barry Graham et al.
United States
1 Jun 2016
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