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2019 Risk Monitoring and Examination Priorities of the Financial Industry Regulatory Authority

USA - January 31 2019 On January 22, 2019, the Financial Industry Regulatory Authority (“FINRA”) published the latest in its annual letters to member broker dealers...

Adam Lurie, Doug Davison, Matthew Axelrod, James Warnot, Douglas Tween, Jeff Cohen, Tom Shropshire, Luis Roth, Pam Shores, Jerome Roche.

For First Time, Federal Appellate Court Holds That Dodd-Frank Broadened Extraterritorial Reach of SEC Enforcement Actions

USA - January 31 2019 In the first federal appellate court opinion to interpret Section 929P(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010...

Adam Lurie, Doug Davison, Matthew Axelrod, James Warnot, Douglas Tween, Jeff Cohen, Tom Shropshire, Luis Roth, Pam Shores, Jerome Roche.

Ninth Circuit Holds that Rule 10b-5 Could Apply to Unsponsored ADRs Traded Over the Counter

USA - August 3 2018 In a ruling that potentially expands antifraud liability for non-U.S. issuers, the Ninth Circuit Court of Appeals recently held that sales of...

Adam Lurie, Doug Davison, Caird Forbes-Cockell, James Warnot, Mike Bienenfeld, Jeff Cohen, Tom Shropshire.

Southern District of New York rejects proposed settlement in shareholder derivative suit for inadequate corporate ethics reforms

USA - July 6 2018 On May 17, 2018, Judge Robert W. Sweet of the United States District Court for the Southern District of New York issued an opinion in Scott v. Weig...

Adam Lurie, James Warnot.