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
Greenwashing Class Action Litigation: An Emerging Risk for Companies’ Claims of Sustainability
August 2, 2023 | Alert | By Jacob Hupart, Doug Baumstein, Joshua Briones, Will G. McKitterick, Jared Solomon, Alex Mejia
Recent regulatory actions and consumer trends have increasingly motivated companies to make public claims about their products’ sustainability. Corporations, either in response to regulation requiring disclosure, or through their own affirmative efforts to market their products and services, are making detailed environmental and sustainability disclosures. Find out more about the plaintiffs' bar response and how they are bringing a growing number of false advertising class-action lawsuits against companies that they allege cannot substantiate their claims.
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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
A Brief Summary of the SEC’s Proposed Climate-Related Rules
March 30, 2022 | Advisory | By Jacob Hupart, Megan Gates, William F. Weld, Doug Baumstein, Jennifer Rubin
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
Webinar Recording: When the Dust Settles: A Closer Look at the SPAC Boom and Potential Litigation to Follow
June 7, 2021 | Webinar | By Nancy Adams, John Sylvia
Mintz Members Adam Sisitsky, Nancy Adams, Jack Sylvia and Of Counsel, Kristen White discuss the rising risk of litigation and regulatory enforcement facing SPACs and the individuals that lead them. Topics will included the current SPAC litigation landscape, SPAC M&A–related litigation, including disclosure issues and breach of fiduciary duty in the de-SPAC process, D&O coverage challenges and risk mitigation and heightened SEC scrutiny.
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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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Two Isn’t Always Better Than One: SDNY Denies Class Certification Where Lead Plaintiff Hired Two Firms
October 21, 2020 | Blog | By Ellen Shapiro
In a scathing decision by the United States District Court for the Southern District of New York, the Court denied class certification of the Allergan securities class action (“Allergan”). See In re Allergan PLC Sec. Litig., 2020 U.S. Dist. LEXIS 179371 (S.D.N.Y Sept. 29, 2020).
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How a Prior DOJ Settlement Doomed a SEC Enforcement Action: A Volkswagen Case Study
September 10, 2020 | Blog | By Ellen Shapiro
The August 20, 2020 decision in In re: Volkswagen “Clean Diesel” Mktg., Sales Practices, and Prods. Liab. Litig., MDL No. 2672 CRB (JSC) by the United States District Court for the Northern District of California (“the Opinion”), dismissing a significant portion of the SEC’s federal securities claims against Volkswagen as having been previously released by the DOJ, serves as an important reminder for why such coordination is important and how defendants may take advantage of the failure to coordinate, as did Volkswagen.
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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
When A Relationship Is Insufficient: Opting Out of the FX Antitrust Class Action Requires Clear Indication
July 9, 2020 | Blog | By Ellen Shapiro
In ruling on Defendants’ motion to dismiss in the FX Opt-Outs Action, Judge Schofield narrowed the antitrust claims, denied dismissal on the basis of forum non conveniens, and denied dismissal of the unjust enrichment claim.
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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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