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Similar to class actions generally, exploring ethics issues in securities class action litigation (specifically fee-splitting), and how that affects settlement value for plaintiff investors
By Sue Reisinger | July 17, 2017
A new report from Gibson, Dunn & Crutcher shows that NPAs and DPAs, as well as monitoring, are still popular tools for government prosecutors.
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By B. Colby Hamilton | July 17, 2017
Three indicted former traders, all U.K. nationals who worked for major international banks, surrendered Monday to U.S. officials.
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By B. Colby Hamilton | July 17, 2017
An international assortment of investors in the co-working startup Bar Works filed a securities fraud suit in the Southern District on Monday over allegations the company co-founder, Renwick Haddow, was operating a Ponzi scheme.
1 minute read
By Michael A. Asaro and Richard R. Williams Jr. | July 17, 2017
Michael A. Asaro and Richard R. Williams Jr. of Akin Gump Strauss Hauer & Feld write: Spoofing has clearly become a high enforcement priority for the SEC and other regulators. As a result, investment firms and broker-dealers who condone this activity, or who fail to have policies reasonably designed to prevent it, do so at their own risk.
1 minute read
By C. Ryan Barber | July 14, 2017
The Consumer Financial Protection Bureau and the OCC are fighting over a new rule that would curtail forced arbitration in the banking industry. Uber drivers win a class certification ruling. SEC Chairman Jay Clayton lays out his agenda. This is a weekly regulatory roundup from ALM and around the web.
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By newyorklawjournal | New York Law Journal | July 13, 2017
SEC Fraud Action Stayed Pending Resolution Of Criminal Case Against Individual Defendants
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By newyorklawjournal | New York Law Journal | July 13, 2017
Plant Controller's Scienter Not Imputed To Firm in Suit Arising From Fraud
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By Roy Strom | July 12, 2017
Fei Yan, 31, was arrested on Wednesday on insider trading charges in a case that alleges he profited from knowledge garnered by his wife, a Linklaters associate working on M&A deals.
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By B. Colby Hamilton | July 12, 2017
A pump-and-dump sting that stretched from New York to San Diego netted 14 in connection with an alleged $147 million stock manipulation scheme, the Eastern District U.S. Attorney's Office announced Wednesday.
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By Gregg Weiner | July 12, 2017
Gregg Weiner of Ropes & Gray writes: The U.S. Supreme Court will review a ruling from the Second Circuit in 'Leidos', holding that Item 303 creates a duty to disclose that can subject companies to civil liabilities for securities fraud under §10(b). A ruling by the high court, expected to come in the October 2017 term, could significantly impact the scope of potential liability for nondisclosures under §10(b) and change the disclosure practices of public companies.
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