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Articles by Brian Nichilo
SEC Continues to Focus on SPAC Market | JD Supra
In recent years, the U.S. Securities and Exchange Commission (SEC) has had its eye on the special purpose acquisition company (SPAC) market — warning investors against putting money into SPACs, expressing skepticism about their performance, and taking affirmative steps to corral SPACs, including direct prosecution of investment firms. Now its gaze has turned upon a market gatekeeper.
Does the Government Retain Control of False Claims Act Cases? | JD Supra
United States ex rel. Polansky v. Executive Health Resources, Inc. (S. Ct. June 16, 2023) The vast majority of False Claims Act cases are initiated by private parties, known as relators, not the government. In fact, according to the U.S. Department of Justice's most recent fraud statistics, the number of False Claims Act cases initiated by relators has outnumbered those initiated by the government every year since 1995.
FINRA Publishes New Annual Report on FINRA’s Examination and Risk Monitoring Program | JD Supra
Who Needs to Know FINRA member firms Why It Matters The 2021 Report on FINRA’s Examination and Risk Monitoring Program serves as an authoritative resource for member firms to evaluate and, where necessary, enhance their compliance programs and operations procedures. The Report addresses 18 different regulatory obligations, which are grouped into four categories: (1) firm operations; (2) communications and sales; (3) market integrity; and (4) financial management.
Supreme Court Provides New Leverage for Defendants in SEC Enforcement Actions
For many years, the U.S. Securities and Exchange Commission (SEC) has sought both civil monetary penalties and disgorgement of unlawful gains from those alleged to have violated federal securities laws. While civil monetary penalties are subject to a five-year statute of limitations under the Supreme Court’s 2013 decision in Gabelli v. SEC, the SEC could seek disgorgement of a defendant’s wrongful gains regardless of timing.
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