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Daily Business Review

What Makes a Compelling SEC Whistleblower Tip?

In this article, we discuss the elements of what makes a compelling SEC Whistleblower Tip, such that it is likely to be investigated by the SEC's Enforcement Division resulting in an enforcement action, substantial monetary penalties and ultimately payment of a financial bounty to our whistleblower client.
6 minute read

The Legal Intelligencer

ESG and SEC: Impact of the Judicial Review on the Final Rules for Climate-Related Disclosures

When announcing the final rules on March 6, SEC Chair Gary Gensler stated, "These final rules build on past requirements by mandating material climate risk disclosures by public companies and in public offerings. The rules will provide investors with consistent, comparable, and decision-useful information, and issuers with clear reporting requirements."
7 minute read

The Legal Intelligencer

DOL's Retirement Security Rule Imposes New Fiduciary Standards on Financial Services, Insurance Industries

Like many recent DOL rules related to retirement investing, the retirement security rule is polarizing and is sure to face significant legal challenges, including from the insurance industry to whom the rule applies a new, heightened duty.
7 minute read

New York Law Journal

Are SEC and FINRA Administrative Hearings Unconstitutional?

For the past eighty-five years, the securities industry has been regulated by the SEC and designated SROs under its supervision. But that system is changing.
7 minute read

National Law Journal

GOP Lawmakers Propose Protection for Targets of SEC Proceedings

Proposed legislation would allow private parties in an administrative proceeding to remove their case to federal court before adjudication.
4 minute read

Corporate Counsel

SEC Escalates Fight With Robinhood, Sending Wells Notice Over Crypto Unit

The development is a setback for Robinhood legal chief Dan Gallagher, who has championed a strategy of engaging with the agency and is himself a former SEC commissioner.
3 minute read

Daily Business Review

Attorneys in Voyager Litigation Reveal Settlement Figures With Gronkowski, 2 Other Prominent Athletes

Mark Cuban and the Dallas Mavericks are the remaining defendants, with a trial set tip off in November.
3 minute read

New Jersey Law Journal

En Banc Panel Adopts New Appellate Standard: Shareholder Suit Dismissed Against Cognizant

Cognizant agreed to pay $25 million to the U.S. Securities and Exchange Commission in 2019 to settle charges that the payments it made to Indian government officials violated the Foreign Corrupt Practices Act.
4 minute read

National Law Journal

'Perplexing': 6th Circuit Judge Criticizes High Bar for Securities Lawsuits

"Hopefully, a future panel of this Court, or the Supreme Court, can clarify the law along the lines described here, so that the majority's untenable views are not sustained," Judge Eric Clay wrote.
3 minute read

New Jersey Law Journal

Class Action Filed Against AI Pharma-Tech Company Alleging CEO's Termination Led Stock Prices to Plummet

The stock price dropped $1.72 per share at the release of that news to close down 22.9%, at $5.79 per share on Feb. 13.
4 minute read

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