Tag: enforcement

Brokers Case Law Securities Law Dictionary

Five-Year Statute Applies to Claims for Disgorgement

The Supreme Court ruled [June 5, 2017] that claims for seclaw.com/glossary/disgorgement/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>disgorgement brought by the SEC are governed by a five-year statute of limitations. The Court’s unanimous opinion in Kokesh v. SEC, No. 16-529, slip op. at 5 (U.S. June 5, 2017) (Sotomayor, J.), held that disgorgement, as it is applied […]

Robinhood
Compliance Investors

SEC Judgment Against Momentum Stock Site

SEC Judgment Against Momentum seclaw.com/glossary/stock/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>Stock Picking Site By Mark J. Astarita, Esq.   The SEC announced that on May 25, 2001, the U.S. District Court in Eugene, Oregon entered judgments against Jared R. Leisek and his brother, Byron J. Leisek. According to the SEC, its complaint, filed on March 1, 2001, […]

Arbitration Case Law

Arbitration Agreements and Enforcement

To Compel Arbitration, Must Prove Knowing Acceptance of the Agreement This time, merely proving that the agreement was signed was not enough. Braga v. VMR Capital Markets, No. B144584 (Cal. App., 2Dist., 2/13/02). Arbitration Agreement * Contractual Issues (Mutual Assent) * Waiver * State Law, Applicability of * FAA (Section2). […]