The U.S. Department of Labor (DOL) announced two settlements with major insurance companies this month that highlight the importance of employers avoiding the collection of group life insurance premiums from employees until the insurer has approved them for coverage, including
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Corporation Finance Director Speaks to Information Sharing Following Cybersecurity Disclosure
Erik Gerding, Director, SEC Division of Corporation Finance, issued a statement to clear up misconceptions following filing of an 8-K disclosing a cybersecurity incident.
According to Mr. Gerding, some companies are under the impression that if they experience a material…
June 18, 2024 Issue – Financial Assistance to Litigation Clients
Q: Dear Ethics Lawyer, I have a litigation practice centered on representing clients in a very low income area. Some of the clients have at least modest means, but are unable to fund the costs and expenses of litigation, and…
June 3, 2024 Issue – Responsive Document Discovered Post Settlement
Q: Dear Ethics Lawyer, Not long after reaching a settlement agreement at mediation, but before the case is officially dismissed, our client discovered a cache of additional material documents responsive to discovery requests, that were not timely produced. The client…
SEC Director of Corporation Finance Speaks to Cybersecurity Disclosures
Erik Gerding, Director, Division of Corporation Finance, released a statement on the preferred methods to disclose certain cybersecurity incidents. Mr. Gerding noted “The cybersecurity rules that the Commission adopted on July 26, 2023 require public companies to disclose material cybersecurity…
May 15, 2024 Issue – Potentially False Client Deposition Testimony
Q: Dear Ethics Lawyer, Today I defended a deposition of my client. Toward the end of today’s session, my client was asked a question that we were expecting and had specifically discussed in the preparation session. But, unexpectedly, the client…
May 1, 2024 Issue – Representing Seller and Company Post-Sale of Company
Q: Dear Ethics Lawyer, You successfully represent a client in the sale of her Company for some serious money. It is a stock sale and the Company will continue to operate, but as a free-standing subsidiary of the Buyer. The…
April 15, 2024 Issue – Matchmaking Between Clients
Q: Dear Ethics Lawyer, I represent a client in connection with the planned sale of a local financial institution. The client believes that acquirer/investor interest in the sale will be primarily local/regional. It knows that our firm represents a number…
Supreme Court: Rule 10b-5 Does Not Cover Pure Omissions
In Macquarie Infrastructure Corp., et al., v. Moab Partners, L. P., et. al, a unanimous United States Supreme Court held that failure to make MD&A disclosures required by Item 303 of Regulation S-K does not violate Rule 10b-5(b). The…
April 1, 2024 Issue – Client as Adverse Witness in Different Matter
Q: Dear Ethics Lawyer, The name of a client in an unrelated matter is identified as a potential trial witness in litigation by an opposing party. Based on the general description of the nature of her testimony, it appears that…