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Securities Enforcement Alert: SEC Increases Scrutiny of “Unicorns” and Other Private Companies and Secondary Market Trading of Pre-IPO Shares - Urges Private Companies to Adopt Enhanced Controls Long Before IPO

USA - April 4 2016 In an unprecedented one-day blitz, the Chair of the Securities and Exchange Commission was joined by the SEC Enforcement Director in events in...

Michael S. Dicke.


Delaware Chancery Court rejects allegations assailing independence of VC directors in dismissing derivative suit

USA - September 4 2015 A recent Delaware Chancery Court decision dismissing derivative fiduciary duty claims has significance for public companies with board members who...

Jennifer C. Bretan, Dean Kristy.


SEC announces $30 million whistleblower award to non-U.S. resident

USA - September 27 2014 On Monday, September 22, 2014, the SEC announced that it expected to award between $30 and $35 million to a non-U.S. whistleblower who provided the...

Jennifer C. Bretan, Catherine Kevane, Alexis I. Caloza.


Ninth Circuit issues key ruling on pleading of loss causation in securities class actions

USA - August 8 2014 On August 7, 2014, the Ninth Circuit issued a key opinion on the pleading of loss causation in securities class actions, ruling for the first time...

Felix S. Lee, Jennifer C. Bretan, Marie Bafus.


Securities litigation alert: DOJ and SEC issue joint guidance on FCPA

USA - November 16 2012 The past several years have seen a dramatic increase in the number of enforcement actions brought by the Department of Justice and the Securities and Exchange Commission under the Foreign Corrupt Practices Act....

Catherine Kevane, Alexis I. Caloza.