Bankruptcy

Current Issues Relating to Silicon Valley Bank ClosureSBF Prosecution Raises Novel Issues for Asset Forfeiture and Victim Restitution View More…

Broker-Dealer

SEC Overrules Its Own Administrative Law Judge to Clear Customer of Fraud ChargesSEC Announces Settlement with Adviser Found to Have Acted as an Unregistered Broker and Engaged in Conflicted Transactions View More…

Class Settlement

Cakes Gone Bad: The Cheesecake Factory Faces Securities ScrutinySupreme Court Prohibits Stacking of Successive Class Actions Beyond Limitations Period View More…

Corporate Governance

Court Upholds SEC’s Victory in “Shadow Trading” CaseSEC Wins Insider Trading Suit Alleging “Shadow Trading” View More…

COVID-19

Dis-Honest: Judge Allows Lawsuit against Jessica Alba Company to Move ForwardNorthern District of California Dismisses Derivative Lawsuit Alleging Online Child Privacy Law Violations View More…

ERISA

SEC Adopts Long-Awaited Pay Versus Performance Disclosure RuleU.S. DOL Issues Final Rule Defining Fiduciary Investment Advice View More…

ESG

Missouri Court Enjoins Missouri’s Anti-ESG Rules for Financial AdvisersEleventh Circuit Invalidates Contest Providing Venture-Capital Funding for Black Women View More…

Fiduciary Duty

Delaware Chancery Court Holds that High Standard for Oversight Liability Applies to Corporate OfficersDelaware Chancery Court Rejects Books/Records Suit Against Disney Relating to “Don’t Say Gay” Legislation View More…

Financial Services

U.S. FinCEN Extends Timeframe for Reporting Companies Created in 2024 to File Beneficial Ownership Information ReportsCurrent Issues Relating to Silicon Valley Bank Closure View More…

Fraud

Supreme Court Holds That Securities Fraud Statute Does Not Proscribe Pure OmissionsFirst-of-its-Kind Crypto Insider Trading Conviction View More…

Health Care

SPAC Securities Class Action Comes for Private Equity SponsorStumbling Through Securities Law Challenges for COVID-19 Vaccine Developers View More…

Hedge Fund

Current Issues Relating to Silicon Valley Bank ClosureSEC Defeats Motion to Dismiss Insider-Trading Complaint Alleging Novel “Shadow Trading” Theory View More…

Hedge Funds

SEC Division of Examinations Announces 2022 Examination PrioritiesSEC Staff Announces 2018 OCIE Examination Priorities View More…

Hostile Work Environment

Eleventh Circuit Invalidates Contest Providing Venture-Capital Funding for Black WomenOhio Federal Court Holds White Litigant Lacked Standing to Challenge Contest Providing Funding for Black-Owned Businesses View More…

International

SEC Issues New Guidance Regarding Russia Sanctions and Public Company DisclosuresFirst Appellate Decision Holds that SEC Can Bring Extraterritorial Enforcement Action Based on Conduct or Effects in United States View More…

Investment Advisers

Are Syndicated Term Loans Securities? The SEC Declines to Weigh in on KirschnerSecond Circuit: Intent to Harm Is Not Required for Criminal Conviction Under Investment Advisers Act View More…

Investment Advisers Act

Second Circuit: Intent to Harm Is Not Required for Criminal Conviction Under Investment Advisers Act View More…

Labor & Employment

Eleventh Circuit Invalidates Contest Providing Venture-Capital Funding for Black WomenOhio Federal Court Holds White Litigant Lacked Standing to Challenge Contest Providing Funding for Black-Owned Businesses View More…

Mergers & Acquisitions

SEC Adopts Amendments to Rule 10b5-1 and Related Disclosure RequirementsNY Court Of Appeals Rejects No-Opt Out Class Action Settlement In Shareholder Litigation View More…

Private Investment Funds

U.S. FinCEN Extends Timeframe for Reporting Companies Created in 2024 to File Beneficial Ownership Information ReportsCurrent Issues Relating to Silicon Valley Bank Closure View More…

SEC Enforcement

2024 SEC Enforcement Results – Takeaways for Fund ManagersCourt Upholds SEC’s Victory in “Shadow Trading” Case View More…

Second Circuit

Second Circuit Questions Use of Criminal Insider-Trading Statute Without Proof of Receipt of Personal BenefitFather Sometimes Knows Best: District Court Blasts SEC’s “No Admit, No Deny” Provisions View More…

Securities Class Action

The Ripple Effect: Implications of the SEC’s Partial Loss in SEC v. Ripple Labs Inc.Fifth Circuit Revives Securities Class Action Against Six Flags View More…

Securities Law

2024 SEC Enforcement Results – Takeaways for Fund ManagersMissouri Court Enjoins Missouri’s Anti-ESG Rules for Financial Advisers View More…

Securities Litigation

2024 SEC Enforcement Results – Takeaways for Fund ManagersCourt Upholds SEC’s Victory in “Shadow Trading” Case View More…

Securities Regulatory

2024 SEC Enforcement Results – Takeaways for Fund ManagersMissouri Court Enjoins Missouri’s Anti-ESG Rules for Financial Advisers View More…

SPAC

Delaware Chancery Court Denies Dismissal of Challenge to SPAC Merger DisclosuresSEC Proposes Extensive New Rules Applicable to SPACs and de-SPAC Transactions View More…

State-Specific Whistleblower Claims

Whistleblower’s Multi-Million Dollar Award Affirmed by Illinois Appellate Court View More…

Uncategorized

Petrobras Rulings on SLUSA Preemption and Brazilian-Law DamagesSupreme Court Denies Review of Second Circuit Insider-Trading Case View More…

Whistleblower

2024 SEC Enforcement Results – Takeaways for Fund ManagersWords Matter: Three Key Steps to Mitigate SEC Enforcement Risks Relating to Whistleblower Carveout Language View More…

White Collar

SEC Wins Insider Trading Suit Alleging “Shadow Trading”Delaware Chancery Court Holds that High Standard for Oversight Liability Applies to Corporate Officers View More…