The Bubble Burst Always Beats the SEC to the Pop
The market in the 1920’s was flooded with fraudulent activities, dangerous investments, and easy credit.[1]…
Browsing: SEC Investigations
Cryptocurrency ICO Issuers on Notice After SEC Seminal DAO Report
In 2018, the Securities and Exchange Commission (“SEC”) significantly cracked down on unregistered Initial Coin…
Daniel M. Gallagher Keynote Speech, Symposium 2015
Are we ready for the next financial crisis? According to Daniel Gallagher, absolutely not. Gallagher…
Jesse Litvak v. SEC
On March 7, 2014 Jesse Litvak was convicted of ten counts of securities fraud on…
S.E.C. Tells High Frequency Trading Firm Athena “Not So Fast!”
On Oct 16, 2014 the Securities and Exchange Commission (“SEC”) settled with Athena Capital Research…
Deal or No Deal
While it stretches the bounds of imagination to think of Mary Jo White as bald…
Bitcoiners in the Court Room, Part I: Government Oversight
Bitcoiners beware, in SEC v. Shavers, No. 4:13-cv-416, 2013 WL 4028182 (E.D. Tex. Aug. 6,…
Gabelli v. SEC: Application of the Fraud “Discovery” Rule and other Implications for Civil Enforcement Actions Moving Forward
In 1805, it would have been “utterly repugnant to the genius of our laws” to…
The SEC’s Case Against Mark Cuban Heads to Trial
Yesterday, in S.E.C. v. Cuban, No. 08-CV-2050, 2013 WL 791405 (N.D. Tex. March 5, 2013),…
Opportunistic Informants? A Look at some of Dodd-Frank’s Whistleblower Provisions
It seems that we are locked in some kind of cycle. Every few years there…