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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
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
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
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
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
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
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
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
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
Annual Review of Federal Securities Regulation
The Business Lawyer, Vol. 68, No. 3
Anna Pinedo, Chrys Carey, Ze'-ev Eiger, Neeraj Kumar, David Lynn, Michael Rosenberg, and Helen Yu
May 2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Emerging Companies + Venture Capital, Equity Offerings, Financial Institutions + Financial Services, Investment Management, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance, Securities: Regulatory + Enforcement
Article
Reprinted with permission.
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.
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
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.
Socially Aware:
The Social Media Law Update - Volume 4, Issue 1
John Delaney, Gabriel Meister, Aaron Rubin, Tiffany Cheung, Adam Fleisher, Jacob Kaufman, J. Lawrence, Christine Lyon, and Julie O'Neill
1/31/2013
Employment + Labor, Internet, Media + Entertainment, Privacy + Data Security, Securities Litigation, Securities: Regulatory + Enforcement, Social Media, Technology Transactions
Newsletter
2012 Insider Trading Annual Review
Carl Loewenson, Ruti Smithline, Kiersten Fletcher, Brian Hoffman, Justin Hoogs, and Kayvan Sadeghi
1/17/2013
Corporate, Corporate Governance, Internal Investigations, Litigation, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement, White-Collar Defense
Client Alert
FINRA Provides Early Guidance About Its Exam Priorities; Firms Should Take Notice
Jay Baris, Hillel Cohn, Kelley Howes, and Daniel Nathan
1/15/2013
Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services, Financial Services, Investment Management, Securities: Regulatory + Enforcement
Client Alert
New Standards for Aiding and Abetting
Executive Counsel
Brian Hoffman
December 2012 / January 2013
Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Socially Aware:
The Social Media Law Update - Volume 3, Issue 5
John Delaney, Gabriel Meister, Aaron Rubin, Anna Ferrari, D. Reed Freeman, Jacob Kaufman, Christine Lyon, and Julie O'Neill
12/5/2012
Employment + Labor, Internet, Media + Entertainment, Privacy + Data Security, Securities Litigation, Securities: Regulatory + Enforcement, Social Media, Technology Transactions
Newsletter
FCPA Regulators Speak on Newly Released FCPA Guidance and Reiterate Unwavering Commitment to FCPA Enforcement
Stacey Sprenkel
11/20/2012
FCPA + Anti-Corruption, Government Contracts, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
DOJ and SEC Issue Long Anticipated FCPA Guidance
Paul Friedman, D. Anthony Rodriguez, and Ruti Smithline
11/15/2012
FCPA + Anti-Corruption, Government Contracts, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Startups, Accelerated
MoFo Tech Blog
11/12/2012
Securities: Regulatory + Enforcement
Article
Shoot First and Ask Questions Later: Financial Regulators’ Use of Their Emergency Enforcement Powers
Financial Fraud Law Report, Vol. 4, No 10
Daniel Nathan
November/December 2012
Broker-Dealer Compliance + Regulation, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission.
Delaware Supreme Court Weighs In On Methodology for Attorneys' Fees Award in Shareholder Derivative Litigation
Philip Besirof
8/29/2012
Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
SEC Whistleblower Office "Open for Business and Ready to Pay"
Randall Fons and Gabrielle Holburt
8/22/2012
FCPA + Anti-Corruption, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
China-based Company's Victory in Securities Fraud Case Reversed on Appeal
Timothy Blakely and Ruti Smithline
8/7/2012
FCPA + Anti-Corruption, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Socially Aware:
The Social Media Law Update - Volume 3, Issue 4
John Delaney, Gabriel Meister, Aaron Rubin, Jay Baris, Anna Ferrari, D. Reed Freeman, J. Lawrence, Daniel Levison, and Julie O'Neill
8/7/2012
Employment + Labor, Internet, Media + Entertainment, Privacy + Data Security, Securities Litigation, Securities: Regulatory + Enforcement, Social Media, Technology Transactions
Newsletter
Cooperating and Showing Hardship Yields “Discounted” $2 Million Penalty for FCPA Violations
D. Anthony Rodriguez and Nicholas Roethlisberger
7/20/2012
FCPA + Anti-Corruption, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
FCPA Derivative Suit Dismissed:
Complaint Devoid of Specific Allegations Falls Woefully Short
Anna White, Timothy Blakely, and Ruti Smithline
7/10/2012
FCPA + Anti-Corruption, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Court Finds No Duty to Publicly Disclose Wells Notices
Randall Fons and Nicole Serfoss
6/26/2012
Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement, White-Collar Defense
Client Alert
Supreme Court to Revisit the Fraud-on-the-Market Presumption
Jordan Eth and Mark Foster
6/11/2012
Appellate + Supreme Court, Commercial Litigation, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Socially Aware:
The Social Media Law Update - Volume 3, Issue 3
John Delaney, Gabriel Meister, Aaron Rubin, Jessica Childress, D. Reed Freeman, Heidi Johanns, Matthew King, J. Lawrence, Leo Martin, and Julie O'Neill
6/5/2012
Internet, Media + Entertainment, Privacy + Data Security, Securities Litigation, Securities: Regulatory + Enforcement, Social Media, Technology Transactions
Newsletter
Pitfalls for Broker-Dealers: Selling Novel and Complex Products
Securities Litigation, ABA, Vol. 22 No. 3
Daniel Nathan
Spring 2012
Broker-Dealer Compliance + Regulation, Internal Investigations, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission. ABA Section of Litigation -Securities Litigation Committee.
Socially Aware:
The Social Media Law Update - Volume 3, Issue 2
Anelia Delcheva, Jacob Kaufman, David Lynn, Julie O'Neill, and William Schuerman
4/5/2012
Employment + Labor, Internet, Media + Entertainment, Privacy + Data Security, Securities Litigation, Securities: Regulatory + Enforcement, Social Media, Technology Transactions
Newsletter
Supreme Court Rejects Open-Ended Tolling of Section 16(b) Claims
Jordan Eth, Mark Foster, Joel Haims, and Deanne Maynard
3/27/2012
Appellate + Supreme Court, Commercial Litigation, Financial Services Litigation, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
The Future of Control Person Liability after Janus
Securities Litigation Report, Vol 9, Issue 2
Darryl Rains
February 2012
Appellate + Supreme Court, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission from the Securities Litigation Report.
Copyright © 2012 Thomson Reuters.
Janus and its Impact on Mutual Funds
INSIGHTS, Volume 25, Number 10
Darryl Rains, Eugene Illovsky, and Jay Baris
10/2011
Financial Institutions + Financial Services, Investment Management, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted from INSIGHTS, October 2011, Volume 25, Number 10, pages 14-22, with permission from Aspen Publishers, a Wolters Kluwer business, New York
Point-Counterpoint: Dodd-Frank Whistleblower Rules
Securities Law360
Jordan Eth Jordan Thomas
8/9/2011
Capital Markets, Employment + Labor, FCPA + Anti-Corruption, Internal Investigations, Investment Management, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement, White-Collar Defense
Article
SEC Implements Advisers Act Provisions of Dodd-Frank; Extends Investment Adviser Registration Deadlines
Jay Baris, Charles Farman, Paul 'Chip' Lion, Ken Muller, Robert Putney, Christopher Russell, Sean Byrne, Isabelle Sajous, and Stephanie Thomas
6/24/2011
Emerging Companies + Venture Capital, Financial Institutions + Financial Services, Investment Management, Private Equity Funds, Private Equity Investments + Buyouts, Securities: Regulatory + Enforcement
Client Alert
Dodd-Frank and the New Enforcement Environment
ACC Docket
Jordan Eth and Monica Palko
June 2011
FCPA + Anti-Corruption, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission of ACC Docket.
A Divided SEC Issues Final Dodd-Frank Whistleblower Program Rules
Jordan Eth, Randall Fons, and Justin Hoogs
5/25/2011
Capital Markets, Employment + Labor, FCPA + Anti-Corruption, Internal Investigations, Investment Management, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement, White-Collar Defense
Client Alert
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