Feb. 22 Webcast: SEC Enforcement — Current Developments and What’s Ahead for 2019

Feb. 22 Webcast: SEC Enforcement — Current Developments and What’s Ahead for 2019

By Securities Docket on February 13, 2019, 11:17 am

Please join Bill McLucas, Doug Davison, Marty Wilczynski and Steve Richards for this free webcast.

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Feb. 21 Webcast — The Securities Class Action Landscape: A Look Back at 2018 and What’s Ahead in 2019

Feb. 21 Webcast — The Securities Class Action Landscape: A Look Back at 2018 and What’s Ahead in 2019

By Securities Docket on January 29, 2019, 4:14 pm

Please join Jeff Lubitz and Stefan Boettrich for this free webcast.

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Securities Docket Announces ‘Enforcement 40′ for 2017

Securities Docket Announces ‘Enforcement 40′ for 2017

By Securities Docket on October 30, 2017, 7:46 am

Securities Docket announces its “Enforcement 40”— our list of the 40 best and brightest securities enforcement defense lawyers.

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Allen Stanford’s Ponzi scheme victims say they have been short-changed

By Securities Docket on February 20, 2019, 3:02 pm

Ten years after the second biggest investor fraud in U.S. history, victims of the $8 billion Ponzi scheme run by disgraced financier R. Allen Stanford have recovered practically nothing, court records show. That’s in stark contrast to the substantial recoveries on behalf of victims of the Bernard Madoff scam, which became public two months earlier. […]

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Kahn Swick seeks witnesses, plaintiffs for potential cybersecurity suit against Duke Energy – Charlotte Business Journal

By Securities Docket on February 20, 2019, 11:00 am

A Louisiana law firm that specializes in shareholder class-action suits says it is investigating reports that Duke Energy Corp. has agreed to a record $10 million regulatory fine for a raft of cybersecurity violations on its electric grid. New Orleans-based Kahn Swick & Foti says the “investigation is focusing on whether Duke’s officers and/or directors […]

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Judge Reverses Blockvest Decision: ICOs Are Securities | LinkedIn

By Securities Docket on February 15, 2019, 10:18 am

In an ICO St. Valentines Day Massacre, the Honorable Judge Gonzalo Curiel of the United States District Court for the Southern District of California reconsidered and reversed his November 2018 Blockvest decision, sending a powerful message about the illegality of so-called initial coin offerings. As an early critic of Judge Curiel’s original Blockvest opinion (before […]

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SEC Charges Former Senior Attorney at Apple With Insider Trading

By Securities Docket on February 13, 2019, 2:21 pm

The SEC’s complaint alleges that Gene Daniel Levoff, an attorney who previously served as Apple’s global head of corporate law and corporate secretary, received confidential information about Apple’s quarterly earnings announcements in his role on a committee of senior executives who reviewed the company’s draft earnings materials prior to their public dissemination.  Using this confidential […]

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Is There a First-Drafter Advantage in M&A?

By Securities Docket on February 13, 2019, 12:33 pm

Does the party that provides the first draft of a merger agreement get better terms as a result? There is considerable lore among transactional lawyers on this question, yet it has never been examined empirically. In a recent article, Is There a First-Drafter Advantage in M&A?, we develop a novel dataset of drafting practices in […]

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SEC Charges Former Executives of Plastics Manufacturer with Fraud

By Securities Docket on February 13, 2019, 9:45 am

According to the SEC’s complaint, Lucent Polymers, Inc. premised its business model on its ability to transform “garbage to gold” – that is, to use low-grade, non-prime feedstock to develop high-quality plastics. The company’s near-magic “garbage to gold” process, the SEC alleges, was a huge commercial success. However, the complaint alleges that Lucent’s business model […]

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ISS Releases 2018 Top 100 U.S. Securities Suit Settlements List | The D&O Diary

By Securities Docket on February 13, 2019, 9:21 am

As was the case in 2017, there were relatively few larger securities class action lawsuit settlements during 2018, compared to prior years. As reported in latest large securities class action lawsuit settlement report from ISS Securities Class Action Services (ISS), there were only four settlements in 2018 that were large enough to make the list […]

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They’re the Biggest Investors in Private Equity. Now They’re Asking the SEC to Step In. | Institutional Investor

By Securities Docket on February 13, 2019, 9:18 am

Sure, they have billions of dollars invested and spend millions in consulting and advisory fees. But now, some of the world’s largest private equity investors, along with an industry group, are demanding oversight over the industry they’re largely funding. On Tuesday, the Institutional Limited Partners Association and 35 of its member institutions sent a letter […]

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Suit Accuses Current, Former CBS Executives of Insider Trading – WSJ

By Securities Docket on February 13, 2019, 9:17 am

Mr. Moonves, acting CEO Joe Ianniello, chief accounting officer Lawrence Liding and former communications chief Gil Schwartz collectively sold more than 3.4 million shares worth over $200 million before the company’s July disclosure that it would investigate Mr. Moonves, according to an amended complaint filed Monday in federal court in the Southern District of New […]

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The Top 100 U.S. Class Action Settlements of All Time as of December 2018 – ISS

By Securities Docket on February 11, 2019, 3:38 pm

For calendar 2018, ISS Securities Class Action Services LLC (“SCAS”) recorded 126 approved securities class action settlements, four (4) of which are included in SCAS’ Top 100, which charts the largest U.S. class action settlements since passage of the Private Securities Litigation Reform Act of 1995. The four new entrants into the Top 100 are: […]

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