Securities Litigation
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Judge Rakoff puts the Ripple Party on Ice as the Crypto Community and SEC Ponder their Next Moves
August 7, 2023 | Blog | By Cory S. Flashner, David Adams, Edmund P. Daley, Patrick E. McDonough
Lessons from Disney: The Exercise of the Corporate Voice is Protected Business Decision
August 2, 2023 | Blog | By Patrick E. McDonough, Kaitlyn Crowe
The Supreme Court Solidifies the Securities Act’s Tracing Requirement For Section 11 Plaintiffs
June 9, 2023 | Blog | By Doug Baumstein, Jason Vigna, Ellen Shapiro, Aaron R. Megar
SEC Adopts New Incentive-Based Compensation "Clawback" Rule
November 30, 2022 | Blog | By Patrick E. McDonough, Xandy Walsh
“We lost. Sorry everyone”: The Implications of a District Court Finding Digital Token, LBC, Is a Security
November 21, 2022 | Blog | By Ellen Shapiro, Will G. McKitterick, Sofia Nuño
Regulator Turf Battles & Twitter Sleuths - Takeaways from the insider trader tipping scheme against a former Coinbase Employee
July 22, 2022 | Blog | By Cory S. Flashner, Edmund P. Daley
Minimizing Stockholder Litigation Risks
February 18, 2022 | Blog
In 2021, approximately on quarter of all federal securities fraud class action lawsuits filed nationwide were against life sciences companies and their officers and directors. These considerations are for directors and officers of life sciences companies looking to manage disclosures and mitigate risk before a suit ever gets filed.
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Court Issues Highly Anticipated Decision Regarding the Treatment of SPAC Sponsors and Directors
January 10, 2022 | Blog | By John Sylvia, Patrick E. McDonough
The Public Weighs In On How the SEC Should Regulate ESG Disclosures
June 22, 2021 | Blog | By Jacob Hupart, Ellen Shapiro
SEC Discloses Its Recommendations on Key Issues for Private Companies Weighing SPAC Transactions
April 2, 2021 | Blog | By Thomas R. Burton, III, John Sylvia, Sahir Surmeli, Patrick E. McDonough
Not So Fast: DOL Changes Course on Trump-Era ESG Investment Rule
March 22, 2021 | Blog | By Alyssa C. Scruggs
The United States Department of Labor’s (“DOL”) Employee Benefits Security Administration (“EBSA”) announced on March 10, 2021 that it will not enforce certain final rules put into place under President Trump related to environmental, social, and governance (“ESG”) investing.
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How a Prior DOJ Settlement Doomed a SEC Enforcement Action: A Volkswagen Case Study
September 10, 2020| Blog|
Massachusetts Securities Division Begins Enforcement Of New State Fiduciary Conduct Standard
September 2, 2020 | Blog | By Pete Michaels, Michael Pastore
On September 1, 2020, the Massachusetts Securities Division (“MSD”) began enforcing a new state regulation that holds all broker-dealers and their agents to a fiduciary conduct standard requiring them to “make recommendations and provide investment advice without regard to the financial or any other interest of any party other than the customer”.
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Interactive Brokers LLC Submits to SEC, FINRA, and CFTC Penalties Totalling $38 Over Widespread AML Failures
August 19, 2020 | Blog | By Pete Michaels, Michael Pastore
Liu v. SEC —SCOTUS Weighs In, But Disgorgement Questions Remain
July 2, 2020 | Blog | By Kaitlyn Crowe
On June 22, 2020, the Court issued its 8-1 opinion in Liu et al. v. Securities and Exchange Commission, holding that a disgorgement award is “equitable relief” permissible under 15 U. S. C. §78u(d)(5), and, as such, is relief that the Securities and Exchange Commission (“SEC”) may properly seek as “appropriate or necessary for the benefit of investors.
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SEC Brings Action Against Company and its CEO for Alleged COVID-19 Scam
April 30, 2020 | Blog
In what will likely be the first of many, the SEC brought an action against a company for false and misleading press releases related to the COVID-19 pandemic.
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State Securities Regulators Renew Warnings of COVID-19 Investment Scams
April 17, 2020 | Blog
Several State Securities Regulators continue to warn investors of investment scams involving COVID-19.
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SEC Says No Reg. BI Extension Despite COVID-19 Concerns
April 6, 2020 | Blog
In a Statement on April 2, the Chairman of the Securities and Exchange Commission (SEC), Jay Clayton, announced that the June 30, 2020 timeline for implementation of Regulation Best Interest (“Reg. BI”) will remain.
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