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Second Circuit Rules that Retaliatory Intent is an Element of a Sarbanes-Oxley Whistleblower Claim

USA - August 18 2022 On August 5, 2022, the Second Circuit held that individuals claiming they were terminated in retaliation for protected whistleblower activities under…

Jeremy M. Allen-Arney, Susanna M. Buergel, Geoffrey R. Chepiga, Daniel J. Kramer, Gregory F. Laufer, Jane B. O'Brien, Lorin L. Reisner, Daniel S. Sinnreich, Audra J. Soloway

Second Circuit Affirms That Misrepresentations and Omissions Cannot Be the Sole Basis for Liability under Rule 10b-5(a) and (c)

USA - July 20 2022 On July 15, 2022, the Second Circuit held in SEC v. Rio Tinto plc,[2] that the Supreme Court’s ruling in Lorenzo v. SEC[3] did not abrogate the rule…

Aimee W. Brown, Susanna M. Buergel, Geoffrey R. Chepiga, Yahonnes Cleary, Daniel J. Kramer, Gregory F. Laufer, Jane B. O'Brien, Walter G. Ricciardi, Richard A. Rosen, Kannon K. Shanmugam, Daniel S. Sinnreich, Audra J. Soloway

Supreme Court Clarifies Scope of Federal Courts’ Authority to Assist with Discovery in Arbitrations Abroad

USA - June 16 2022 On June 13, 2022, the Supreme Court unanimously held in ZF Automotive US v. Luxshare that 28 U.S.C. § 1782—which empowers district courts to order…

Allan J. Arffa, H. Christopher Boehning, Aimee W. Brown, Jessica S. Carey, Geoffrey R. Chepiga, Michael E. Gertzman, Andrew G. Gordon, Gregory F. Laufer, Mark F Mendelsohn, Jessica E. Phillips, Kannon K. Shanmugam, Aidan Synnott, Daniel J. Toal

SEC Highlights Investment Adviser MNPI Compliance Issues

USA - April 26 2022 On April 26, 2022, the SEC’s Division of Examinations (“EXAMS”) published a Risk Alert (available here) highlighting deficiencies observed by staff…

Udi Grofman, Roberto Finzi, Victoria S. Forrester, Matthew B. Goldstein, Amran Hussein, Gregory F. Laufer, Marco V. Masotti

Biden Issues Executive Order Instituting a “Whole-of-Government” Approach to Supporting Digital Asset Innovation and Mitigating Its Risks

USA - March 11 2022 On March 9, 2022, President Biden issued the “Executive Order on Ensuring Responsible Development of Digital Assets” (the “EO”),[1] outlining a…

Jonathan Ashtor, Susanna M. Buergel, Jessica S. Carey, Lewis R. Clayton, Rachel Fiorill, Manuel S. Frey, Michael E. Gertzman, Roberto J. Gonzalez, David S. Huntington, Brad S. Karp, Carly Lagrotteria, Raphael M. Russo, Jacobus J. Schutte