June 25 Webcast: COVID-19 Pandemic-Related Compliance, Financial Reporting & SEC Enforcement Considerations

June 25 Webcast: COVID-19 Pandemic-Related Compliance, Financial Reporting & SEC Enforcement Considerations

By Securities Docket on June 10, 2020, 1:27 pm

Please join Marion Duffy, Keith Halverstam, Alok Khare, Ryan Maierson, Rob Malionek, and Todd Rahn for this free webcast.

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DLA Piper boosts financial services litigation capability with partner hire in Australia | News | DLA Piper Global Law Firm

By Securities Docket on July 8, 2020, 9:00 am

Global law firm DLA Piper announces that financial services dispute resolution and class actions lawyer Matthew (Matt) Spain has joined the firm, effective today. Matt joins DLA Piper from King & Wood Mallesons’ (KWM) Financial Services Dispute Resolution group, where he has spent the past 13 years. During his time at KWM, Matt has built […]

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John Riley Joins Ankura as Senior Managing Director

By Securities Docket on July 7, 2020, 1:28 pm

Ankura, a global business advisory and expert services firm, today announced the appointment of John Riley as Senior Managing Director. Mr. Riley, who will be based in Washington, D.C., is a veteran of the Securities and Exchange Commission (SEC), having served as the SEC’s Acting Chief Accountant in 1995, and brings over 40 years of collective […]

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Akin Gump Adds Katherine Goldstein, Former Chief of the Southern District of New York’s Securities and Commodities Fraud Task Force, as a Partner in New York

By Securities Docket on July 7, 2020, 9:08 am

Akin Gump is pleased to announce that Katherine Goldstein has joined the firm as a partner in its white collar defense and government investigations practice in New York. Ms. Goldstein has extensive government and private practice experience. She spent nearly a dozen years as an Assistant U.S. Attorney for the Southern District of New York […]

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What If All Those SEC Tolling Agreements Were Unenforceable? | LinkedIn

By Securities Docket on July 2, 2020, 8:39 am

Investigative subjects – particularly corporate and other business entities – usually accede to SEC demands for tolling agreements. They fear if they don’t agree the SEC staff will impose unreasonably short time deadlines for responding to subpoenas and other investigative demands. They also fear the SEC staff will rush to judgment and they might not be allowed […]

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Lead Counsel in Bernie Madoff Suit Retain $20 Million Fee Award

By Securities Docket on July 1, 2020, 2:12 pm

Lead attorneys representing plaintiffs who made claims against investment funds that were manipulated by Bernie Madoff will get $19.9 million for their services, after the Second Circuit affirmed the award as reasonable. via Lead Counsel in Bernie Madoff Suit Retain $20 Million Fee Award.

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Freshfields opens Silicon Valley office | Freshfields news

By Securities Docket on July 1, 2020, 1:33 pm

Freshfields Bruckhaus Deringer LLP today announced that it will be opening a new office in Silicon Valley with seven founding partners. Leading corporate lawyers Sarah Solum, John Fisher and Maj Vaseghi, together with litigators Boris Feldman and Doru Gavril, will join as new partners. They will launch the office with U.S. capital markets partner Pamela […]

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Auditors keep falling into the same trap | Financial Times

By Securities Docket on June 30, 2020, 7:56 am

Last week, payments firm Wirecard admitted that €1.9bn of its cash probably never existed — and then it collapsed. It turns out that the German group’s auditors had failed for at least three years to request crucial account information from a Singapore bank where Wirecard said it had up to €1bn. Instead, EY relied on […]

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Guest Post: “Stock Drop” Lawsuits | The D&O Diary

By Securities Docket on June 29, 2020, 7:13 am

One often hears that “whenever there is a stock drop, there will be a lawsuit.” This of course is an overstatement. But how much of an overstatement is it?  In this post, we answer that question in some detail.  We identify all net-of-market stock drops of specified sizes in 2017 for common shares listed on […]

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SEC Accounting and Auditing Enforcement Actions Down Slightly in 2019 | The D&O Diary

By Securities Docket on June 26, 2020, 8:38 am

According to a new report from Cornerstone Research, the number of accounting and auditing enforcement actions the SEC initiated in 2019 was down slightly from the number initiated in 2018, but the number remained near the 2014-2018 average. Monetary settlements of accounting and auditing enforcement actions during 2019 totaled approximately $626 million.  The June 25, […]

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The Post-Cyan Section 11 Litigation Environment | The D&O Diary

By Securities Docket on June 26, 2020, 8:37 am

Over the last two years, there have been two important judicial decisions concerning Section 11 litigation. In March 2018, the United States Supreme Court unanimously held in the Cyan case that state courts retain concurrent jurisdiction over lawsuits asserting liability claims under the Securities Act of 1933, a development that has increased the number of […]

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