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Takeaways from SEC’s First Ever Enforcement Actions Against Cryptocurrency Firms for Failing to Register as a Broker-Dealer and Investment Company

USA - September 26 2018 Over the past year, the U.S. Securities and Exchange Commission has ramped up its scrutiny of cryptocurrencies and other digital token offerings. On…

Michael S. Dicke.

SEC Enforcement Trends: Highlights from Securities Enforcement Forum West 2018

USA - May 17 2018 The Securities Enforcement Forum West 2018 brought together current and former senior U.S. Securities and Exchange Commission and U.S. Department of…

Eric Young, Michael S. Dicke.

Yahoo’s $35M SEC Settlement: Takeaways from the First Enforcement Action for Failure to Disclose a Data Breach

USA - May 3 2018 The U.S. Securities and Exchange Commission announced on April 24, 2018, that Yahoo! — now known as Altaba — agreed to pay a $35 million penalty to…

Michael S. Dicke.

Yahoo’s $35M SEC Settlement: Takeaways from the First Enforcement Action for Failure to Disclose a Data Breach

USA - May 3 2018 The U.S. Securities and Exchange Commission announced on April 24, 2018, that Yahoo! — now known as Altaba — agreed to pay a $35 million penalty to…

Michael S. Dicke.

Securities Litigation Alert: District Court Says Indirect Purchasers of Shares Can Bring Fraud Claims Against Private Company and its Officers

USA - April 26 2017 ​​ In a case with important implications for late-stage private companies, a federal magistrate judge ruled last week that investors in funds holding…

Michael S. Dicke.