Topic
Securities
6,683 published works
SEC Actions
This Week In Securities Litigation (Week of May 13, 2024)
Last week the Commission filed seven new administrative proceedings. They included actions based on an offering fraud, a scheme based on retirement accounts, unregistered securities, pricing, PCAOB audit rules stock…
Law Times News
Kelley McKinnon and Patricia Olasker appointed to Ontario Securities Commission board of directors
McKinnon has regulatory and financial expertise, Olasker specializes in mergers and acquisitions
SEC Actions
This Week In Securities Litigation (Week of May 6, 2024)
Last week the Commission filed seven new enforcement actions. Six were civil injunctive actions while one was an administrative proceeding. The civil injunctive actions involved failure to register as a…
California Corporate & Securities Law Blog
Is There A California Connection To Kirschner?
Last summer, bankers and the lawyers who advise them breathed a collective sigh of relief when the Second Circuit Court of Appeals upheld a U.S. District Court's opinion that notes…
SEC Actions
Cybersecurity Firm CEO Charged with Fraud
The purpose of the federal securities laws is to bring a new ethics to the marketplace. This point is often made when interpreting the statutes. It is also asserted…
The D&O Diary
AI, Risk, and Public Company Disclosures
Since OpenAI launched ChatGPT in November 2022, the race to capitalize on emerging artificial intelligence (AI) technologies has super-charged the financial markets. The stock prices of AI-associated companies, such as…
SEC Actions
This Week In Securities Litigation (Week of April 29, 2024)
Last week the Commission filed four new enforcement actions. One centered insider trading, another on an offering fraud, a third on the sale of unregistered securities and a final action…
The D&O Diary
#MeToo Back in the Spotlight?
I am sure many readers were as surprised as I was by the news last week that the New York Court of Appeals had overturned the disgraced former movie producer…
Construction Law Insights
Lateral Transfers and Reassignments Resulting in “Some Harm” May Now Give Rise To Actionable Discrimination Under Title VII
By Rachel Hazelet, Andrew Wolf
For decades, employers have depended on the rule that transferring or reassigning an employee would not give rise to an actionable discrimination claim, as long as such an action did…
Broker-Dealer Regulation & Litigation Insights
Hiring Social Media Influencers? How You Influence Matters
FINRA, as part of its targeted exam of member firms’ social media practices for gaining new customers, recently announced an $850,000 fine against M1 Finance LLC (“M1 Finance”) stemming from…