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Results: 1-10 of 147

Securities Litigation - What to Watch in 2017
  • Greenberg Traurig LLP
  • USA
  • January 9 2017

2016 was a banner year for securities-related litigation. As we noted in our Dec. 6, 2016 edition of GT Insights, SEC Enforcement Actions increased


U.S. Supreme Court Holds that “Gift” of Confidential Information to Friends and Family is Sufficient to Establish Personal Benefit for Insider Trading Liability
  • Greenberg Traurig LLP
  • USA
  • December 19 2016

On Dec. 6, 2016, in Salman v. United States, the U.S. Supreme Court unanimously held that an insider's "gift" of confidential information to a


Uncertainty continues for the SEC’s conflict minerals reporting regime after D.C. Circuit confirms First Amendment violation
  • Greenberg Traurig LLP
  • USA
  • August 28 2015

On Aug. 18, 2015, a three-judge panel of the U.S. Court of Appeals for the D.C. Circuit in a 2-1 decision upheld its April 2014 ruling in National


Federal Securities Lawsuit Filings Surge to Record Levels in 2016
  • Greenberg Traurig LLP
  • USA
  • February 13 2017

Cornerstone Research recently released its 2016 year in review report on securities class action filings. According to the report, in 2016, the


Conflict minerals rule update: emergency motion filed for complete stay of SEC's conflict minerals rule
  • Greenberg Traurig LLP
  • USA
  • May 7 2014

As public companies struggle to craft disclosure in their first Form SD filings due May 31, 2014 (June 2, 2014) consistent with guidance (Guidance


Gaining whistleblower protection: engaging in activity protected by Dodd-Frank is not enough
  • Greenberg Traurig LLP
  • USA
  • November 19 2014

Earlier this month, a district court ruled that an employee simply engaging in activity protected by the Dodd-Frank Act's anti-retaliation provision


Federal appeals court holds SEC conflict minerals rules violate free speech
  • Greenberg Traurig LLP
  • USA
  • April 15 2014

On April 14, 2014, a three-judge panel of the U.S. Court of Appeals for the District of Columbia, in an opinion authored by Senior Circuit Judge


Recent 9th Circuit Decision Interprets Scope of SOX Certification and Disgorgement Provisions
  • Greenberg Traurig LLP
  • USA
  • September 19 2016

On Aug. 31, 2016, the United States Court of Appeals for the Ninth Circuit reversed a district court decision with respect to liability of a CEO and


California Northern District Court adopts “regulatory value” standard in granting motion for expungement of CRD records
  • Greenberg Traurig LLP
  • USA
  • September 11 2012

In Bridge v. ETrade Securities LLC, 2012 WL 3249508 (N.D. Cal. Aug. 7, 2012), the District Court granted ETrade’s motion for an order directing expungement of plaintiffs’ complaint from the Central Registration Depository (“CRD”) record of its employee pursuant to FINRA Rule 2080


Ninth Circuit reverses securities fraud conviction based on admission of prior complaint
  • Greenberg Traurig LLP
  • USA
  • September 14 2012

Rather than attempt to prove their claims with facts and evidence that relate to their own dealings with their brokers, securities claimants far too often instead seek to smear respondents by parading before the arbitrators (or the judge or jury) unrelated past complaints and settlements regardless of their merits or relevance or whether any factual findings were ever made or admitted