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Nota Bene Episode 15: C-Suite Trades: Three Developments Insiders Need to Know
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • December 12 2018

The rules surrounding insider trading and securities violations are extensive and can be complicated. In order to determine if an executive selling or


Second Circuit Affirms Insider Trading Conviction And Vacates Restitution Order Of Sports Gambler Billy Walters
  • Shearman & Sterling LLP
  • USA
  • December 11 2018

On December 4, 2018, the United States Court of Appeals for the Second Circuit affirmed the insider trading conviction, judgment, and order of


Can a Plaintiff Re-Label and Re-File a Securities Fraud Claim?
  • K&L Gates
  • USA
  • December 7 2018

The federal securities laws have long prohibited two types of misconduct: making fraudulent statements and employing fraudulent schemes, both in


Influencer Marketing? Beware: The SEC May Knock the Coin Out of You
  • Klein Moynihan Turco LLP
  • USA
  • December 6 2018

Last Thursday, the Securities and Exchange Commission (“SEC”) announced that it had settled influencer marketing charges brought against professional


US securities fraud claims and unsponsored ADR programmes
  • Freshfields Bruckhaus Deringer
  • USA
  • November 28 2018

Non-US companies with unsponsored ADR programmes may be concerned about whether their liability risk has increased after the recent unfavourable US


Businessman pleads guilty to defrauding investors through two ICOs
  • Hogan Lovells
  • USA
  • November 16 2018

What has happened? A US federal court has announced that a man accused of selling unregistered securities, falsely claiming they were backed by real


Second Circuit Court Of Appeals Reverses Investment Banker’s Insider Trading Conviction
  • Shearman & Sterling LLP
  • USA
  • November 13 2018

On November 5, 2018, the Second Circuit Court of Appeals in a split decision vacated the insider trading conviction of a former Wall Street analyst


SEC Warns Corporations about BEC Attacks
  • Munger Tolles & Olson LLP
  • USA
  • November 5 2018

On Oct. 16, 2018, the SEC issued a type of report, known as a "21(a) Report," on Business Email Compromise ("BEC") attacks.i The report warrants


Judge Rakoff Highlights the Financial Risk to Objectors of Class Settlements
  • Mintz
  • USA
  • October 23 2018

On August 15, 2018, Judge Jed S. Rakoff of the U.S. District Court for the Southern District of New York awarded an objector to the Petrobras class


A New SEC Focus On Short Activism? Activist Hedge Fund Lemelson Capital Charged with Unlawful Short Attack
  • Vinson & Elkins LLP
  • USA
  • October 8 2018

On September 12, 2018, the Securities and Exchange Commission charged hedge fund, Lemelson Capital and its adviser, Gregory Lemelson (together with