Securities Law Blog Roundup

Blog Roundup: The latest posts from securities law related blogs:

SECLaw.com:
 

The Securities and Exchange Commission today announced settled administrative proceedings against Swapnil Rege, a North Brunswick, New Jersey portfolio manager and trader, for mispricing private fu...
The Securities and Exchange Commission today announced that its Retail Strategy Task Force will host a roundtable on October 3 on combating elder investor fraud. The roundtable will focus on the......
Finally, a FINRA Arbitration Panel who enforces their discovery award. In a customer arbitration, Morgan Stanley was ordered to produce documents related to the termination of one of its key...

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After inquiries by the SEC, FINRA and the FBI, GPB Capital has announced significant losses in the value of its investment funds. Two of its funds, GPB Holdings II and GPB Automotive Portfolio, ha...
The SEC charged AR Capital LLC, its founder Nicholas S. Schorsch, and its former CFO Brian Block with wrongfully obtaining millions of dollars in connection with two separate mergers between...

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Business Law Professor:

"The terms 'publicly held corporation' and 'publicly traded corporation' are easy to conflate, but there are at least two key differences." https://t.co/EJLHP3vrix #corpgov ht @ProfBainbridge pic.t...
I have been a dean for two days. So, obviously, I have it all figured out. (That's very much a joke). My sample size is small, but it seemed like a good time for me to take a shot at...
In Tennessee Wine and Spirits Retailers Assn. v. Thomas, the SCOTUS affirmed decisions of the Sixth Circuit and Federal District Court of Middle Tennessee finding Tennessee’s 2-year residency requi...
On Thursday, the Commodity Futures Trading Commission (CFTC) held an open meeting to consider: Supplemental Proposal on Exemption from Derivatives Clearing Organization Registration Proposed Rule o...
I just recently came across the Ninth Circuit’s decision in In re Atossa Genetics Inc Securities Litigation, 868 F.3d 78 (9th Cir. 2017), and it struck me because it highlights an ongoing tension b...

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