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Securities Litigation, Enforcement +
White-Collar Defense

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When Legal or Compliance Personnel May Be Subject to Failure to Supervise Liability Under the Securities Laws
Daniel Nathan and Ana-Maria Ignat
10/9/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Changing the Rules of the Game After the Whistle Has Blown
The Corporate Counselor, Vol. 28, No. 6
Janie Schulman
October 2013
Corporate, Employment + Labor, Financial Institutions + Financial Services, Litigation, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Article
FINRA Gives Member Firms a Thumbs Up on Suitability Rule Compliance
Daniel Nathan and Ana-Maria Ignat
9/30/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Reliability of Confidential Witnesses in Securities Fraud Complaints
New York Law Journal
Carl Loewenson and James Beha
9/30/2013
Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement, White-Collar Defense
Article
Reprinted with permission from the September 30, 2013, edition of the New York Law Journal © 2013 ALM Media Properties, LLC. All rights reserved.
Say No More: The Latest Blow to Suits Challenging Proxy Disclosures About Say-On-Pay and Stock Incentive Plans
Jordan Eth and Mark Foster
9/25/2013
Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
SEC Propose Pay Ratio Disclosure Rules
David Lynn, Lawrence Bard, and Stephanie Wingader
9/19/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Renewed Focus on an Old Rule: SEC Steps Up Rule 105 Enforcement Efforts
Jay Baris, Hillel Cohn, Ana-Maria Ignat, and Daniel Nathan
9/18/2013
Investment Management, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Corruption Allegations in China Lead to a Shareholder Class Action in the U.S.
Timothy Blakely, Stacey Sprenkel, and Caitlin Blythe
9/9/2013
FCPA + Anti-Corruption, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
The Second Circuit Speaks: The Presumption Against Extraterritoriality Applies to Criminal Prosecutions
Carl Loewenson, Kayvan Sadeghi, and Kiersten Fletcher
9/3/2013
Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, White-Collar Defense
Client Alert
A New Era of Canadian Anti-Corruption Enforcement?
Paul McKenzie, Daniel Levison, and Amanda Treleaven
8/30/2013
FCPA + Anti-Corruption, Government Contracts, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
PCAOB’s Report on Broker-Dealer Audit Deficiencies Points the Way for BDs to Improve Their Financial Reporting and Compliance
Daniel Nathan and Ana-Maria Ignat
8/26/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
A Significant Decision For Going-Private Transactions
Law360
Joel Haims and James Beha
8/22/2013
Mergers + Acquisitions, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense
Article
Reprinted with permission.
Hurricane Sandy Redux: Agencies Recommend Business Continuity Planning
Daniel Nathan and Ana-Maria Ignat
8/21/2013
Investment Management, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
UK Bribery Act Comes To Life?
Kevin Roberts, Jarod Taylor, and Duncan Grieve
8/15/2013
FCPA + Anti-Corruption, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Insider Trading in Mutual Funds: Do Traditional Theories Apply?
Jay Baris, Kelley Howes, and Daniel Nathan
8/8/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
SEC to Broker-Dealers: More Oversight, Fewer Madoffs?
Daniel Nathan and Adam Fleisher
8/7/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Brazil’s New Clean Companies Act Continues Global Fight Against Corruption
Timothy Blakely, Ruti Smithline, and Jarod Taylor
8/6/2013
FCPA + Anti-Corruption, Government Contracts, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
In re MFW Shareholders Litigation:
Controlling Shareholder in Going-Private Transaction May Gain the Benefit of the Business Judgment Rule
Unsolicited Views, MoFo’s monthly newsletter chronicling developments in hostile M+A
Joel Haims and James Beha
August 2013
Mergers + Acquisitions, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense
Article
Please Mr. Postman: FINRA Cracks Down on Late Prospectus Delivery
Daniel Nathan
7/26/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
The STOCK Act and the Political Intelligence Industry
Harvard Law School Forum on Corporate Governance and Financial Regulation
Daniel Nathan and Ana-Maria Ignat
7/20/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Article
Reprinted with permission.
Delaware Court of Chancery Holds Forum Selection Bylaw Provisions Are Enforceable
Jordan Eth and Kevin Calia
6/26/2013
Corporate Governance, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
The STOCK Act and the Political Intelligence Industry: No Easy Answers
Daniel Nathan and Ana-Maria Ignat
6/24/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Recent FCPA Enforcement Actions Show Increased Scrutiny on Financial Services Sector
Ruti Smithline and Jarod Taylor
6/20/2013
FCPA + Anti-Corruption, Government Contracts, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Inside Baseball – SEC Enforcement Co-Chief Calls ‘Em Like He Sees ‘Em
Daniel Nathan and Tiffany Rowe
6/19/2013
Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Court of Appeals Reinstates Insurance Coverage Claim for Disgorgement
Joel Haims, Carl Loewenson, and Andreea Vasiliu
6/13/2013
Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Ninth Circuit Limits Key Defense in ERISA Stock Drop Cases
Paul Flum and Raymond Hasu
6/10/2013
Compensation, Benefits + ERISA, Employment + Labor, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
4 Lessons From Total’s FCPA Settlement
Law360
Randall Fons and Brian Hoffman
6/5/2013
FCPA + Anti-Corruption, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Article
What’s Old is New Again: Total Settles FCPA Charges Involving Decade-Old Conduct
Randall Fons and Brian Hoffman
5/31/2013
FCPA + Anti-Corruption, Government Contracts, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Broker-Dealer Email Systems Must Keep Pace with Firm Growth, FINRA Says
Daniel Nathan and Kelley Howes
5/28/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services, Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
FINRA Focuses on Anti-Money Laundering Procedures and Red Flags
Daniel Nathan and Kiersten Fletcher
5/16/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
DOJ Turns FCPA Spotlight on Financial Services Sector as Enforcement Efforts in Latin America Continue
Adam Hoffinger, Robert Salerno, and Demme Doufekias
5/15/2013
FCPA + Anti-Corruption, Government Contracts, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
SEC Sanctions Fund Trustees for Inadequate Disclosures and Failure to Follow Compliance Policies
Jay Baris and Kelley Howes
5/2/2013
Investment Management, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Top Trial Attorney James Brosnahan Reflects on Over 50 Years of Law Practice
Laws.com
James Brosnahan
4/30/2013
Litigation, Securities Litigation, Enforcement + White-Collar Defense, Trials
Article
Reprinted with permission.
SEC and CFTC Issue Identity Theft Rules
Daniel Nathan and Ana-Maria Ignat
4/19/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Preventing Corruption While Protecting Personal Information
Bloomberg BNA Privacy and Security Law Report
Suhna Pierce, Marian Waldmann Agarwal, and Ruti Smithline
4/8/2013
FCPA + Anti-Corruption, Privacy + Data Security, Securities Litigation, Enforcement + White-Collar Defense
Article
Reprinted with permission.
Delaware Supreme Court Holds that Collateral Estoppel Applies to Dismissal on Demand-Futility Grounds
Jordan Eth, Judson Lobdell, and Deanne Maynard
4/5/2013
Appellate + Supreme Court, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
SEC Offers Guidance on Use of Social Media for Public Disclosure
David Lynn
4/4/2013
Corporate Governance, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
What Does Cooperation Buy You?
Law360
Carl Loewenson, Ruti Smithline, Kayvan Sadeghi, Brian Hoffman, Justin Hoogs, and Kiersten Fletcher
4/4/2013
Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission.
U.S. Supreme Court Invites Solicitor General’s Views on Whether to Grant Review of Case Addressing Two Key Issues in ERISA Fiduciary Duty Claims
Paul Flum and Raymond Hasu
3/29/2013
Appellate + Supreme Court, Employment + Labor, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Enforcement Heads Reveal All at SIFMA Annual Seminar
Daniel Nathan
3/22/2013
Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Supreme Court: securities fraud plaintiffs need not prove materiality to certify a class
International Law Office
Jordan Eth, Joel Haims, and Kayvan Sadeghi
3/19/2013
Appellate + Supreme Court, Commercial Litigation, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission.
The SEC Speaks: Reflections and Enforcement Initiatives in 2013
Randall Fons, Brian Hoffman, and Tiffany Rowe
3/5/2013
FCPA + Anti-Corruption, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement, White-Collar Defense
Client Alert
California Lawyer 2013 Roundtable Series: Securities
California Lawyer
Jordan Eth and Craig Martin
March 2013
Internal Investigations, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission.
Supreme Court Holds That Securities Fraud Plaintiffs Do Not Have to Prove Materiality to Certify a Class
Jordan Eth, Joel Haims, and Kayvan Sadeghi
2/27/2013
Appellate + Supreme Court, Commercial Litigation, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Supreme Court: Statute of Limitations in SEC Fraud Cases Begins to Run When Fraud Occurs, not When Discovered.
Jay Baris, Randall Fons, and Kelley Howes
2/27/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
New FCPA Decision: The Battle Continues on the FCPA’s Jurisdictional Reach
Paul Friedman, Ruti Smithline, and Adam Hunt
2/25/2013
FCPA + Anti-Corruption, Government Contracts, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
New FCPA Decision: How Long is the FCPA’s Reach?
Paul Friedman, Ruti Smithline, and Adam Hunt
2/14/2013
FCPA + Anti-Corruption, Government Contracts, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Recent Developments in Loss Causation
Chapter Ten in Corporate Law and Practice Course Handbook Series, Practising Law Institute
Jordan Eth and Su-Han Wang
February 2013
Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense
Article
Reprinted with permission.
SEC Enforcement Priorities and Compliance Opportunities
Of Counsel, Vol. 32, No. 2
Brian Hoffman
February 2013
Broker-Dealer Compliance + Regulation, Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission, Aspen Publishers.
SEC Approves New Compensation Committee and Adviser Independence Listing Standards
David Lynn, Lawrence Bard, and Daniel Kahan
1/18/2013
Capital Markets, Corporate Governance, IPOs, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
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