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  • Article

    Is Exercising Employee Stock Options Illegal Insider Trading? Maybe

    Amidst the flurry of Securities and Exchange Commission cases involving improper employee stock option backdating several years ago, many commentators opined on the potential insider trading implications of companies’ issuance of stock options to officers and directors.
    United StatesCorporate/Commercial Law
    Morrison Foerster
    Morrison Foerster
  • Article

    Know The Risks: Domestic And International Compliance

    The penalties for compliance missteps have never been higher — particularly in the international regulatory context.
    United StatesCorporate/Commercial Law
    Foley & Lardner LLP
    Foley & Lardner LLP
Article

Regulators Urge Investors To Provide A Trusted Contact To Brokers

The SEC Office of Investor Education and Advocacy and FINRA urged investors to add a "trusted contact person" on brokerage accounts to protect against fraud.
United StatesCorporate/Commercial Law
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
  • Article

    SB 538: Overhauled Anti-Securities Fraud Provision

    Signed by Gov. Jerry Brown on Sept. 23, Senate Bill 538 overhauls the anti-fraud provision of the California Securities Law of 1968.
    United StatesCorporate/Commercial Law
    WilmerHale
    WilmerHale
  • Article

    SEC Alleges JOBS Act Fraud While FINRA Cracks Down On Private Placement Activities

    The SEC recently announced an action where the promoter allegedly told investors that the 2012 JOBS Act would allow his fund to raise billions of dollars by advertising to the general public and produce large profits for early investors.
    United StatesCorporate/Commercial Law
    Morrison Foerster
    Morrison Foerster
  • Article

    SEC Charges Former Employee With Securities Fraud

    The SEC charged a former employee with securities fraud.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Charges Former Mayor With Fraud In Pay-To-Play Scheme

    The former mayor of Markham, Illinois partially settled fraud charges relating to an alleged "pay-to-play" scheme in connection with a municipal bond offering.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Charges Tesla Chief Executive For Making False Public Statements

    The SEC filed a Complaint against Tesla Chief Executive Officer Elon Musk for making a series of allegedly false and misleading statements on Twitter about a potential transaction to take the company private.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Enforcement In Financial Reporting And Disclosure—2018 Mid-Year Update

    Chairman Jay Clayton's vision for the Securities and Exchange Commission has largely shaped the first half of 2018
    United StatesCorporate/Commercial Law
    Jones Day
    Jones Day
  • Article

    SEC Obtains Emergency Order Halting Fraudulent 'Blockchain Evangelist' ICO

    The SEC obtained a court order halting an ongoing fraud involving an initial coin offering that had raised up to $21 million from investors inside the U.S. and abroad, along with an emergency asset freeze...
    United StatesCorporate/Commercial Law
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
  • Article

    SEC Reports Increase In Whistleblower Tips

    The SEC's whistleblower office reported 3,923 tips in the last fiscal year, resulting in $37 million in awards for reporting securities violations.
    United StatesCorporate/Commercial Law
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
  • Article

    SEC Warns Investors Of Coronavirus-Related Scams

    Additionally, the OIEA asked that market participants submit any information regarding suspected securities fraud or wrongdoing to the SEC's website.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Should Tech Companies Be Prepared For More Secret Subpoenas?

    "Hard questions are ahead for lawmakers and lawyers in the telecommunications industry, experts say, and the potential answers are top-of-mind for tech companies' in-house lawyers."
    United StatesCorporate/Commercial Law
    Cooley LLP
    Cooley LLP
  • Article

    Silent Fraud . . . Or Omissions

    The U.S. Court of Appeals for the Sixth Circuit affirmed a dismissal of investors’ securities claims in the wake of a bank liquidation.
    United StatesCorporate/Commercial Law
    Fox Rothschild LLP
    Fox Rothschild LLP
  • Article

    Supreme Court To Hear Salman Insider Trading Case

    The Supreme Court granted a review of a case that could settle a dispute regarding what prosecutors must prove to obtain an insider trading conviction.
    United StatesCorporate/Commercial Law
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
  • Article

    The Faithless Servant Doctrine Exists In N.Y.

    A former hedge fund portfolio manager, currently serving five years in prison for insider trading, was a "faithless servant" under New York law.
    United StatesCorporate/Commercial Law
    Fox Rothschild LLP
    Fox Rothschild LLP
  • Article

    The Scope Of SEC Defendants' Jury Trial Right: Part 1

    It has been settled law for some time now that the Seventh Amendment right to a jury trial in U.S. Securities and Exchange Commission enforcement actions extends to liability determinations.
    United StatesCorporate/Commercial Law
    WilmerHale
    WilmerHale
  • Article

    The Scope Of SEC Defendants' Jury Trial Right: Part 3

    This is the third of four articles examining the scope of the Seventh Amendment jury trial right for civil defendants in U.S. Securities and Exchange Commission enforcement actions.
    United StatesCorporate/Commercial Law
    WilmerHale
    WilmerHale
  • Article

    Trends In Securities Enforcement Discussed At BBA's White Collar Conference

    We have been writing about white-collar enforcement trends discussed at the Boston Bar Association's recent White Collar Crime Conference (see here and here). Today we look
    United StatesCorporate/Commercial Law
    Foley Hoag LLP
    Foley Hoag LLP
  • Article

    US Corporate Law News: SEC Charges Former Private Equity Firm Partner With Defrauding Clients

    The SEC noted that the adviser's firm had written policies and procedures in place that expressly forbid reimbursement of such expenses.
    United StatesCorporate/Commercial Law
    Withers LLP
    Withers LLP
  • Showing 521–540 of 11315 results

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