Feb. 2 Webcast: Navigating the Minefield of Dodd-Frank's Whistleblower Provisions (2020 Update)

Feb. 2 Webcast: Navigating the Minefield of Dodd-Frank’s Whistleblower Provisions (2020 Update)

By on January 22, 2021, 9:59 am

Please join panelists from Gibson Dunn, Phillips & Cohen and AlixPartners for this free webcast.

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SEC Enforcement: A Look Back at 2020, and What to Expect in 2021

SEC Enforcement: A Look Back at 2020, and What to Expect in 2021

By on December 29, 2020, 6:41 pm

Please join panelists Bill McLucas, Doug Davison, Marty Wilczynski and Jason Flemmons for this free webcast.

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Securities Docket Announces 'Enforcement 40' for 2020

Securities Docket Announces ‘Enforcement 40’ for 2020

By on October 29, 2020, 10:23 am

Securities Docket announces its list of the 40 best securities enforcement defense lawyers.

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Why Crime Could Kill Crypto – WSJ

By on June 18, 2021, 9:56 am

One approach might be to make it harder to use or transfer cryptocurrency once stolen, much like suitcases filled with $1 million in cash are difficult to actually spend without getting noticed. The Biden administration is proposing to adopt the same requirement for crypto that all businesses have when they are paid more than $10,000 […]

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SEC Investigating Former Chair of Auditing Industry Regulator – WSJ

By on June 17, 2021, 1:27 pm

The Securities and Exchange Commission is investigating whether the recently dismissed chairman of the auditing industry’s oversight board violated any rules in his handling of internal complaints at the regulator, according to people familiar with the matter. The SEC’s enforcement investigation is examining the actions of William Duhnke, who was dismissed from his job as […]

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When Will The CFTC Get New Leadership?

By on June 17, 2021, 9:24 am

Given the CFTC’s importance, it’s puzzling that President Biden has yet to nominate a chair. After he was sworn in Jan. 21, there were news reports that the two Democratic CFTC commissioners, Rostin Behnam and Dan Berkovitz, and Georgetown University law professor Chris Brummer were being considered for the top spot. But there has been […]

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Not Your Standard Orange Grove: Non-Fungible Tokens & Securities Laws

By on June 16, 2021, 1:59 pm

With offerings across a growing number of online platforms and increased trading volume, NFT issuers, promoters, and buyers should consider the legal and regulatory implications relating to NFTs and federal securities laws. Throughout the first half of 2021, non-fungible tokens (“NFTs”) have continued to experience widespread adoption across a range of industries. Just last week, rights to […]

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Marriott Data Breach-Related Securities and Derivative Suits Both Dismissed | The D&O Diary

By on June 16, 2021, 11:00 am

Shortly after Marriott International’s November 2018 announcement that it had uncovered a data breach in the guest registration system of Starwood (which Marriott had acquired two years earlier), the company was hit with a raft of litigation, including both securities class action lawsuits and shareholder derivative lawsuits. In twin June 11, 2021 opinions, the federal […]

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The SEC and Politics – SEC ACTIONS

By on June 16, 2021, 10:59 am

Regardless of which side is correct, the key point is that the agency is heading toward the kind of gridlock on Capitol Hill and Congress. If that is the case its independence is being compromised; the losers will be the registrants, markets and the public. Transparency and investor protection will be lost in a cloud […]

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Crypto Lawyers Andrew Hinkes, Justin Wales Join Fintech Practice at Miami’s K&L Gates – CoinDesk

By on June 16, 2021, 10:49 am

The crypto industry has grown to a point where lawyers representing businesses in the sector must tap an increasing number of global resources, said Andrew Hinkes, a prominent lawyer in the space. Hinkes and a colleague, Justin Wales, have joined global law firm K&L Gates, after a combined 11 years as counsel at Carlton Fields, […]

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Six Charged in Silicon Valley Insider Trading Ring

By on June 15, 2021, 6:23 pm

According to the SEC’s complaint, Nathaniel Brown, who served as the revenue recognition manager for Infinera Corporation, repeatedly tipped Infinera’s unannounced quarterly earnings and financial performance to his best friend, Benjamin Wylam, from April 2016 until Brown left the company in November 2017.  The SEC’s complaint alleges that Wylam, a high school teacher and bookmaker, […]

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SEC Chairman: Time to “Freshen Up” Rules Governing 10b5-1 Plans – Lexology

By on June 15, 2021, 11:09 am

Chairman Gensler’s comments indicate that new, additional requirements for 10b5-1 plans are likely to be coming. In prepared comments made at The Wall Street Journal’s CFO Network event on June 7, 2021, SEC Chairman Gary Gensler explained that he has asked the SEC Staff to make recommendations on how to “freshen up” Rule 10b5-1 under […]

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SEC Charges Issuer With Cybersecurity Disclosure Controls Failures

By on June 15, 2021, 9:38 am

According to the SEC’s order, on the morning of May 24, 2019, a cybersecurity journalist notified First American of a vulnerability with its application for sharing document images that exposed over 800 million images dating back to 2003, including images containing sensitive personal data such as social security numbers and financial information.  In response, according […]

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