‘Enforcement 40’ for 2020
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By Securities Docket on January 31, 2019, 2:05 pm
Guest Columnist Jeff Litvak on how a neutral accountant can save the parties to a dispute a significant amount of time and money.
By Securities Docket on January 31, 2019, 10:21 am
The Securities and Exchange Commission today announced settled charges against four public companies for failing to maintain internal control over financial reporting (ICFR) for seven to 10 consecutive annual reporting periods. Two of the charged companies also failed to complete the required evaluation of the effectiveness of ICFR for two consecutive annual reporting periods. via SEC.gov […]
By Securities Docket on January 31, 2019, 10:19 am
Now the company has run into potentially more severe trouble, this time with the U.S. SEC, which has deemed ICOs as securities. In an interview with the Wall Street Journal, Kik CEO Ted Livingston said the U.S. regulator isn’t accusing the company of fraud, but because Kik failed to register the ICO with the SEC, […]
By Securities Docket on January 30, 2019, 2:15 pm
Practice leaders concede that the popped crypto bubble has resulted in a tough time for a segment of their clients, especially startups, as fewer new crypto businesses are forming than in recent years, and consequently the “new deal flow” is slowing. Yet these attorneys report such practice groups are still thriving despite the changed market. […]
By Securities Docket on January 29, 2019, 4:40 pm
In 2017, a pair of young Houston lawyers focused on defending drunk drivers. The next year, they pivoted to initial coin offerings. Houston attorney Adam J. Wolfe signed at least 14 Form Ds for 9 different cryptotoken-related ventures as the “legal counsel” in 2018. Based on a MarketWatch analysis of ICO-related fundraising activity related to […]
By Securities Docket on January 29, 2019, 4:14 pm
Please join Jeff Lubitz and Stefan Boettrich for this free webcast.
By Securities Docket on January 29, 2019, 8:41 am
Schiff Hardin LLP announced today that Kayvan B. Sadeghi has joined the firm as a partner in the Litigation and Dispute Resolution Practice Group in New York. He represents companies and individuals in complex commercial and securities litigation, investigations, and enforcement proceedings. via Schiff Hardin Adds Commercial Litigator Kayvan Sadeghi in New York.
By Securities Docket on January 29, 2019, 8:32 am
The head of the SEC’s office in Texas has left for Jones Day, just like his predecessor did in 2015, the law firm said Jan. 28. Shamoil Shipchandler stepped down as director of the Securities and Exchange Commission’s Fort Worth Regional Office Jan. 25. He will start Feb. 25 at Jones Day’s Dallas office, where […]
By Securities Docket on January 28, 2019, 5:29 pm
The Securities and Exchange Commission today announced that Shamoil T. Shipchandler, Director of the Fort Worth Regional Office, left the agency on Friday, January 25. Under Mr. Shipchandler’s leadership, the Fort Worth office has brought numerous significant enforcement actions and has conducted examination activities that have strengthened compliance in the industry, including filing novel cases […]
By Securities Docket on January 28, 2019, 8:52 am
Everyone involved in any way in D&O insurance transactions has seen an insurance buyer choose to buy a policy that while less expensive provides narrower coverage. Sometimes the price difference might be slight, sometimes the difference could be significant. But the fact is, the most expensive policy is the one that doesn’t provide coverage when […]