The SEC recently approved FINRA’s proposed rule aimed at preventing fraud and abuse of senior investors. On March 30, FINRA issued Regulatory Notice 17-11, setting the effective date for the new rule as February 5, 2018. The notice provides for the adoption of new FINRA Rule 2165, which will permit members to place temporary holds
Casey Miller represents clients in a variety of commercial litigation and dispute resolution matters. She has a diverse practice focused on business tort litigation, contract disputes, fiduciary-duty claims involving corporate directors and officers, intellectual property litigation, securities litigation, disputes over non-compete and non-solicitation agreements, and real estate litigation. She practices in both state and federal courts across the country.
Casey also represents organizations and individuals in government and internal investigations, advises clients in regulatory compliance matters, and handles related litigation and white collar defense matters. She has experience in defending corporations and their officers and directors in criminal and civil investigations and enforcement actions, including those brought by the SEC, DOJ, CFTC, state attorneys general and other state regulators, self-regulatory bodies, and various international regulators.
Last week, in U.S. ex rel. Advocates for Basic Legal Equality, Inc. (ABLE) v. U.S. Bank, the Sixth Circuit affirmed the dismissal of a False Claims Act (FCA) suit against U.S. Bank because the conduct alleged by the qui tam relator had previously been publicly disclosed in a consent order with the Office of…