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April 02, 2021 | New York Law Journal

'Spoofing' Prosecutions: The DOJ's Approach

In recent years, DOJ has aggressively pursued spoofing cases under the wire fraud statute and 2020 saw significant developments in this area, including conviction after trial of two commodities traders in September 2020.
13 minute read
April 02, 2021 | Insurance Coverage Law Center

Pfizer Inc. v. Arch Ins. Co.

Two recent decisions by Delaware courts demonstrate that they are increasing leaning toward the insured's position in disputes over directors and officers (D&O) insurance coverage. As a result, New York companies incorporated in Delaware should consider where to file lawsuits concerning D&O insurance disputes—in Delaware or New York.
23 minute read
April 01, 2021 | New York Law Journal

For Civil Enforcement, the Pandemic Is Just Beginning

There have been many criminal prosecutions of COVID-related fraud—the DOJ recently announced that the Fraud Section has criminally charged at least 120 defendants to date in fraud cases involving the PPP—but those often alleged egregious misconduct. Two new end-of-year settlements go beyond such incidents of egregious wrongdoing, however, and shed greater light on how the government might pursue civil enforcement for companies whose behavior was grey, sloppy, or pushed boundaries, which William Harrington, Annie Railton and Melissa Brumer discuss in this Federal Civil Enforcement column.
8 minute read
March 23, 2021 | New York Law Journal

'Predominantly Foreign' Securities Claims

In their Second Circuit Review , Martin Flumenbaum and Brad Karp discuss 'Cavello Bay Reinsurance v. Shubin Stein,' an opinion which "continues the Second Circuit's trend of taking a narrow approach to the extraterritorial reach of the federal securities laws."
8 minute read
March 15, 2021 | Law.com

4th Circuit: Market Risks Hindsight Is Not Enough to Support Securities Fraud Claim

Statements and omissions arising from legitimate, subjective business judgments that allegedly become misleading only with the benefit of hindsight are insufficient to create the "strong inference" of intent necessary to satisfy the heightened standard for pleading a securities fraud claim.
6 minute read
February 25, 2021 | The Legal Intelligencer

Third Circ.: Bad Business Decisions, Without More, Do Not Constitute Federal Securities Fraud

When a public company discloses bad news, often its stock price declines and shareholders' investments similarly decline.
8 minute read
January 26, 2021 | The Legal Intelligencer

Transparency in Corporate Political Spending and SEC Rule 14a-8

In the wake of the Jan. 6 riots at the U.S. Capitol, organizations from public companies to large financial institutions, and even law firms, are reconsidering their political contributions.
8 minute read
December 14, 2020 | New York Law Journal

Establishing Loss Causation in Securities Fraud Class Actions

In their Corporate and Securities Litigation column, Margaret A. Dale and Mark D. Harris discuss 'In re BofI Holding, Inc. Sec. Litig.', in which a divided Ninth Circuit panel grappled with two types of disclosures: those that originate in whistleblower complaints, and those based on publicly available information. The decision nicely embodies a number of the tensions at play in the jurisprudence of loss causation.
8 minute read
December 09, 2020 | New York Law Journal

Days Seem Numbered for Circuit's Controversial Insider Trading Decision

Days before Thanksgiving, the United States Solicitor General's office responded to defendants' petitions for certiorari in 'Blaszczak'. The government agreed that the Supreme Court should vacate the Second Circuit's decision, and suggested a remand for further consideration in light of an intervening decision in 'Kelly v. United States'. The significant issues the certiorari petitions present in two critical areas of white-collar criminal doctrine are worthy of practitioners' attention and are addressed by White-Collar Crime columnists Robert J. Anello and Richard F. Albert.
13 minute read
November 25, 2020 | New York Law Journal

Insider Trading on Government Information

This article discusses recent events giving rise to concerns about insider trading, the scope of insider-trading laws as they apply to government officials and alleged tippees, and whether the change in administration is likely to result in a greater focus on insider trading based on government information.
9 minute read

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