The Oakleaf Group的动态

??? The recent unanimous Supreme Court decision in Macquarie Infrastructure v. Moab Partners marks a pivotal moment in securities fraud litigation. This ruling especially impacts how "pure omissions" are treated under Rule 10b-5, making it essential for businesses and investors to understand the changes to securities disclosures and litigation risks. ???? Stay informed on the implications with our full analysis: https://lnkd.in/eDEDXZCY #SecuritiesFraud #SupremeCourt #LegalUpdate #InvestmentRisks #FinancialDisclosure

Alleged Fund Misappropriation: Terry Mitchell, Pruco Securities Broker Accused : As a financial analyst and legal expert with over a decade of experience, I’ve seen my fair share of broker misconduct cases. The recent allegations against Terry Mitchell, a former broker with Pruco Securities, are serious and deeply concerning for investors. According to his FINRA BrokerCheck record, Mitchell is accused of misappropriating client funds – […] https://lnkd.in/ejv2ewET

Read our attorneys’ insights into recent legal developments affecting the mutual fund/investment management industry. The update covers concerns about pay-to-play violations as the election nears, FinCEN’s proposed amendments to strengthen anti-money laundering programs, important compliance dates and more. #mutualfunds #investmentmanagement #SEC #FinCEN https://bit.ly/3ysTlZE

Find out what's hot in the regulatory compliance world with the latest ?????? ???????????? ????????????????: ?? A 7-year-old case against a CCO may be over ?? Charging expenses to private funds ?? Questions about how recent SCOTUS decisions will impact SEC enforcement ?? and, much more... #RCW #RegulatoryCompliance #PrivateEquity #PrivateFunds #SEC #ESG #FinCEN

?????????? ???? ???????????? ?????????????? ???????????????? ???? ?????????? ?????????????????? ?????????????????????? ???????????????? ???? ?????????????? ?????? ????????-?????????????? ?????????? ???????? The Court of Appeal has upheld a 12-month imprisonment sentence for serious breaches of asset disclosure obligations in a complex and long-running fraud claim in the case of????????????????? ?? ????????. The court granted a three-month suspension of the sentence to promote compliance with the obligations, demonstrating the court's commitment to ensuring adherence to legal obligations. This decision highlights the importance of respecting findings of fact and decisions made by lower courts, which are in the best position to assess evidence. The ruling also addresses significant legal and practical issues regarding contempt of court and asset disclosure orders, underscoring the broader implications of this case. Dan McCourt Fritz KC?and Andrew Gurr?(Andrew G.)?of Serle Court were instructed as counsel. Jonathan Tickner, Alice McDonald?and?George Pizzey?of Peters & Peters also acted for Mrs ??bilen. #committal #civilfraud #fraud #judgment #disclosure #contempt #assets

In an article for Law360, Milbank #Litigation & #Arbitration partners Nola Heller and Matthew Laroche and special counsel John Hughes discuss the DOJ’s new Corporate Whistleblower Awards Pilot Program, how it differs from preexisting SEC and CFTC whistleblower incentive programs, and the potential challenges for companies and the DOJ alike in successfully implementing it. Read “Why DOJ's Whistleblower Program May Have Limited Impact” here: https://lnkd.in/df5CMurS

SEC Targets Laren Pisciotti, Ex-TD Ameritrade Broker, in Fraud Case : As a financial analyst and legal expert with over a decade of experience, I’ve seen my fair share of SEC civil suits alleging fraud by brokers. The recent case against Laren Pisciotti, a former broker with TD Ameritrade, is one that investors should pay close attention to. According to Pisciotti’s BrokerCheck record, accessed on November […] https://lnkd.in/eQJE4bRA

Charles Schwab & Co. has asked a federal court in #Houston to block one of its former advisors from soliciting customers to move assets to another RIA: https://lnkd.in/eWpX9igP #wealthmanagement #schwab #finra #litigation #sec #tro

Custodial confirmations are essential to verifying losses suffered in non-US securities litigation. Matthew Barad explores how investors can streamline confirmations and improve their recovery odds: https://bit.ly/4dcVua5 #governance | #securities | #litigation

UBS Broker Scott Meador Accused of Unauthorized Trades, Misrepresentation : As a financial analyst and legal expert with over a decade of experience, I have seen my fair share of cases involving allegations against financial advisors. The recent case involving UBS Financial broker Scott Meador is one that investors should pay close attention to. According to the allegations, Meador engaged in unauthorized trading and misrepresented […] https://lnkd.in/escV2dvw