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Dec 16, 2019

SEC settlement offers lessons for legal counsel

By Joseph J. Floyd and Marni J. Kaufman The U.S. Securities and Exchange Commission recently entered into a cease-and-desist order with Juniper Networks, Inc., related to violations of the internal controls and recordkeeping provisions of the Foreign Corrupt Practices Act of 1977 through its subsidiaries operating in Russia and China. The facts are described in […]

Dec 21, 2016

Securities – Court Upholds SEC Administrative Enforcement

Bennett v. U.S. Securities and Exchange Comm’n (Lawyers Weekly No. 001-183-16, 31 pp.) (Duncan, J.) No. 15-2584, Dec. 16, 2016; USDC at Greenbelt, Md. (Grimm, J.) 4th Cir. Holding: A district court did not err in dismissing on jurisdictional grounds plaintiff financial services firm’s challenge to the constitutionality of an administrative enforcement proceeding the Securities […]

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