Duty to Disclose SEC Wells Notices Rejected by Judge
Editor's Note: The following post comes to us from Jonathan R. Tuttle, partner in the litigation department at Debevoise & Plimpton LLP, and is based on a Debevoise & Plimpton memorandum by Mr....
View ArticleFCPA Whistleblower Lawsuits Under the Dodd-Frank Anti-Retaliation Provision
Editor's Note: The following post comes to us from Steve Nickelsburg, partner in the litigation & dispute resolution practice at Clifford Chance LLP. This post is based on a Clifford Chance client...
View ArticleSEC Investigations and Securities Class Actions: An Empirical Comparison
Editor's Note: The following post comes to us from Stephen J. Choi, Murray and Kathleen Bring Professor of Law at New York University School of Law, and Adam C. Pritchard, Professor of Law at...
View ArticleSEC Expands Probe into Rule 10b5-1 Plans
Editor's Note: The following post comes to us from William H. Hinman, Jr. and Daniel N. Webb, partners in the Corporate Department at Simpson Thacher & Bartlett LLP. This post is based on a Simpson...
View ArticleCourt: Disclosure of SEC Investigation Insufficient to Plead Loss Causation
Editor's Note: The following post comes to us from Adam Hakki, partner and global head of the Litigation Group at Shearman & Sterling LLP, and is based on a Shearman & Sterling client...
View ArticleSEC Forecasts an Increase in Whistleblower Cases and Awards
Editor's Note: The following post comes to us from Michael T. Jones, partner in the Litigation Department at Goodwin Procter, and is based on a Goodwin Procter client alert by Mr. Jones and Jennifer...
View ArticleTen Changes to Expect from the SEC’s New Enforcement Program
Editor's Note: The following post comes to us from Jon N. Eisenberg, partner in the Government Enforcement practice at K&L Gates LLP, and is based on a K&L Gates publication by Mr. Eisenberg....
View ArticleSEC Investigations and Enforcement Related to Financial Reporting and Accounting
Editor's Note: The following post comes to us from Randall J. Fons, partner and co-chair of the Securities Litigation, Enforcement, and White-Collar Defense Group and the global FCPA and...
View ArticleThe Robust Use of Civil and Criminal Actions to Police the Markets
Editor's Note: Mary Jo White is Chair of the U.S. Securities and Exchange Commission. This post is based on Chair White’s remarks to the Securities Industry and Financial Markets Association (SIFMA)...
View ArticleA Few Things Directors Should Know About the SEC
Editor's Note: Mary Jo White is Chair of the U.S. Securities and Exchange Commission. This post is based on Chair White’s remarks to the Twentieth Annual Stanford Directors’ College; the full text,...
View ArticleWinds of Change in the SEC’s Division of Enforcement
Editor's Note: This post is based on a client memo by John F. Savarese and Wayne M. Carlin of Wachtell, Lipton, Rosen & Katz. This is a period of significant change in the SEC’s enforcement...
View ArticleDelegation and Accountability at the SEC
Editor's Note: This post comes to us from Russell G. Ryan of King & Spalding LLP. Investors and lawmakers have been clamoring for a more aggressive and nimble SEC, and it looks like they’re about...
View ArticleSEC Enforcement
Editor's Note: The following post comes to us from Rebecca Files of the School of Management at The University of Texas at Dallas. In the paper, SEC Enforcement: Does Forthright Disclosure and...
View ArticleSEC Settlements with Companies Soar in 2011
Editor's Note: Elaine Buckberg is Senior Vice President at NERA Economic Consulting. In our recent report, SEC Settlements Trends: 1H 2011 Update, my co-authors (Jan Larsen and James Overdahl) and I...
View ArticleSEC Investigation Recognizes Individual’s Contribution
Editor's Note: The following post comes to us from John H. Sturc, co-chair of the Securities Enforcement Practice Group at Gibson, Dunn & Crutcher LLP, and is based on a Gibson Dunn alert. On March...
View ArticleFederal Court Injunction Against SEC Prosecution
Posted by John J. Falvey, Jr. and Daniel J. Tyukody, Goodwin Procter LLP, on Sunday, August 30, 2015 Editor's Note: John J. Falvey, Jr. and Daniel J. Tyukody are partners in the Securities Litigation...
View ArticleSEC Proposed Amendments to Rules for Administrative Proceedings
Posted by Barry R. Goldsmith, Gibson, Dunn & Crutcher LLP, on Thursday, October 15, 2015 Editor's Note: Barry R. Goldsmith is a partner at Gibson, Dunn & Crutcher LLP. This post is based on a...
View ArticleBuilding Effective Relationships with Regulators
Posted by Norm Champ, Harvard Law School, on Thursday, October 22, 2015 Editor's Note: Norm Champ is a lecturer at Harvard Law School and the former Director of the Division of Investment Management at...
View ArticleFund Advisers and Fee Disclosure in SEC Enforcement Action
Posted by Veronica Rendón Callahan, Arnold & Porter LLP, on Friday, October 30, 2015 Editor's Note: Veronica Rendón Callahan is a partner at Arnold & Porter LLP and co-chair of the firm’s...
View ArticleIn re Lions Gate: Corporate Disclosure of Securities Enforcement
Posted by David M.J. Rein, Sullivan & Cromwell LLP, on Thursday, February 4, 2016 Editor's Note: David M.J. Rein is a partner in the Litigation Group at Sullivan & Cromwell LLP . This post is...
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