Topic
securities fraud
5,444 published works
The D&O Diary
Tariff Risk Was Used to Depress Deal Value, New Securities Suit Alleges
By Sarah Abrams
The D&O Diary has continued to follow the growing number of securities lawsuits alleging that companies understated the impact of tariffs, sanctions, and other geopolitical developments on their business and…
Dispute Resolution Blog
The silent shift: Beneficial ownership and the untested edge of pledge-related contra trades
By Vasudha Goenka, Kushal Tekriwal, Prakhar Singh
Summary: Creation, invocation and revocation of a pledge of shares fall within the meaning of “trade” under the PIT Regulations, and the FAQs on the PIT Regulations are unambiguous on…
The CLS Blue Sky Blog
Protective Settlements in Corporate Law: When Shareholders Pay for Insider Peace
By Renholding
On August 7, 2025, amid mounting scrutiny of Intel CEO Lip-Bu Tan’s investments in Chinese technology companies and his former firm’s export-control violations, President Trump posted that Tan was “highly…
The Securities Law Blog
Two Entities Charged in $130 Million Fraud Scheme That Used False SEC Filings to Boost Investor Confidence
The Securities and Exchange Commission today charged two foreign-operated, Colorado-incorporated entities, BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd, for orchestrating a fraud scheme that used false SEC filings…
The D&O Diary
Honeywell Aerospace Hit with Securities Suit Following FCA Cybersecurity Settlement
By Sarah Abrams
The D&O Diary has been closely following the Department of Justice's increasing use of the False Claims Act (FCA) as an enforcement tool, including in areas involving cybersecurity compliance, DEI,…
Inside Class Actions
Know Your Meme: Fifth Circuit Overturns Class Certification in Securities Fraud Action for Failing to Determine if Stock Traded in Inefficient Market as a Meme Stock
By Stephen Rees
In securities fraud class actions, plaintiffs must prove that a stock was traded in an efficient market in order to invoke a presumption that—under the fraud-on-the-market theory articulated in Basic…
Bressler Risk Blog
Alleged Insider Trader Plans to Subpoena Form Firms on Security/Confidentiality Controls, Greek/Panamanian Firm Sanctioned for Iranian Shipping Support, Law Firms Question Anthropic/Claude Commitment to Legal
By Dan Bressler
“Lawyer Charged With Insider Trading Wants to Subpoena Ex-Firms” — “A former Big Law attorney accused of feeding an insider trader ring with confidential client information signaled plans to subpoena…
Investigation Counsel
U.S. Investor Behind Flair Airlines Expansion Pleads Guilty to $500 Million Fraud Scheme
The former CEO of 777 Partners and a major investor in Flair Airlines has plead guilty to wire fraud and securities fraud after admitting to a scheme that defrauded lenders…
Investigation Counsel
Calgary Man Fined $105,000 and Banned From Trading for Eight Years Over Stock Manipulation
The Alberta Securities Commission has sanctioned former Softlab9 director Alnoor Fatehali Nathoo after he admitted to manipulating share prices and failing to disclose securities transactions as required by law. The…
Investigation Counsel
BCSC Imposes 20-Year Market Ban on Canadian Convicted of U.S. Securities Offences
The British Columbia Securities Commission has barred Avtar Dhillon from participating in the province’s investment market for 20 years following his U.S. criminal convictions involving undisclosed stock sales and securities…