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2,904 results found


Patterson Belknap Webb & Tyler LLP | USA | 7 Mar 2019

Circuit Upholds Rajaratnam SEC Civil Penalty

In an appeal arising in the aftermath of Raj Rajaratnam’s criminal conviction for insider trading, the Second Circuit


Proskauer Rose LLP | USA | 6 Mar 2019

Second Circuit Rejects Securities Claims Based on Generic Statements About Ethics and Compliance

The Court of Appeals for the Second Circuit yesterday affirmed the dismissal of a securities class action alleging misrepresentations arising from


Shearman & Sterling LLP | USA, United Kingdom, European Union | 13 Feb 2019

Governance & Securities Law Focus: Asia Edition, February 2019

On 1 November, 2018, the Securities and Futures Commission of Hong Kong (SFC) issued a statement (the "Statement"), which sets out a new approach


Shearman & Sterling LLP | USA | 12 Feb 2019

New Jersey District Court Dismisses Putative Securities Fraud Class Action For Failure To Plead Scienter

On January 31, 2019, Judge Madeline Cox Arleo of the United States District Court for the District of New Jersey granted with leave to amend


Sheppard Mullin Richter & Hampton LLP | USA | 6 Feb 2019

Court Finds Cybersecurity-Related Claims Sufficient in Securities Class Action

In the aftermath of Equifax’s data breach, a federal court recently found that allegations of poor cybersecurity coupled with misleading statements


Bressler, Amery & Ross PC | USA | 6 Feb 2019

Clients Need Education About Aging, Investing And Exploitation: Here Is How Financial Advisors Can Do This With Decorum

Recent publicity regarding 97-year-old Prince Phillip's car accident has sparked a louder debate about whether older drivers should continue to be


Bennett Jones LLP | USA | 30 Jan 2019

Summary of Actions Against Exxon Mobil for Securities Fraud

Since 2013, investors in Exxon Mobil Corporation ("Exxon") stock have consistently shown an interest in understanding how the effects of climate


Arent Fox LLP | USA, Ukraine | 18 Jan 2019

Friday Enforcement Wrap: Government Shutdown Watch

As the partial government shutdown continuesthe longest in historythe Administrative Office of the US Courts announced on Wednesday that it


Patterson Belknap Webb & Tyler LLP | USA | 14 Jan 2019

“King for a Day”

In a decision extolling jurors’ use of “common sense” to evaluate insider trading charges, the Second Circuit affirmed the conviction of Robert


Patterson Belknap Webb & Tyler LLP | USA | 14 Jan 2019

Galanis Appeal Leads To Limited Remand To Determine Whether Counsel Was Ineffective

The appeal in United States v. Galanis, 17-629 (Sack, Parker, Chin) resulted in a limited remand in a summary order so that the district court can