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Similar to class actions generally, exploring ethics issues in securities class action litigation (specifically fee-splitting), and how that affects settlement value for plaintiff investors
By Dan Roe | October 27, 2023
Defense lawyer Joan McKown, who spent her career working on financial regulatory matters including investigations, exams, internal investigations, and disputes throughout the United States, is honored with this NLJ Lifetime Achievement Award.
7 minute read
By Maydeen Merino | October 25, 2023
"We would never allow the New York Stock Exchange … to do the things that crypto intermediaries may be doing," Gensler said.
3 minute read
By Michael A. Mora | October 19, 2023
"If the facts are as alleged, the company has a lot of answering to do," said Roland S. Chase, a partner at Hill Ward Henderson.
3 minute read
By Riley Brennan | October 18, 2023
According to the court, "some patients did better on a lower dose and others experienced the same lack of clinical benefit whether they were on the higher dose or not," and therefore, the defendants failed to disclose the subgroup data, "which would have contextualized their 'all data' claim," leading the complaint to plausibly allege that the defendants' omission misled investors.
4 minute read
By Maydeen Merino | October 18, 2023
"The SEC will use whatever tools are in its toolbox" to sanction what it regards as a failure to safeguard material nonpublic information, Sidley Austin partner Ranah Esmaili said.
4 minute read
By Maydeen Merino | October 17, 2023
"The SEC will use whatever tools are in its toolbox" to sanction what it regards as a failure to safeguard material nonpublic information, Sidley Austin partner Ranah Esmaili said.
4 minute read
By Cheryl Miller | October 10, 2023
Ari J. Lauer has also been named in a securities fraud suit brought by the U.S. Securities and Exchange Commission.
3 minute read
By Adolfo Pesquera | October 6, 2023
In one scheme, the attorney opened trustee accounts with client funds and simply moved the money to his own accounts, rather than using the funds for the benefit of the trust, prosecutors say.
3 minute read
By Chris O'Malley | October 4, 2023
Companies will have to report cyber incidents within four days of determining they're material, a tight timeframe that requires cooperation from third-party service providers that most firms have not yet secured.
4 minute read
By Fizza Khan and Tyler Schoenberg | October 4, 2023
Regulation by enforcement continues, but SEC enforcement actions are now being brought against exchanges without evidence of fraud or wrongdoing. Is the SEC overstepping its regulatory oversight of digital assets?
8 minute read
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