Topic
Securities
6,683 published works
The D&O Diary
Cornerstone Research: Accounting-Related Securities Suit Filings Increased in 2023
The number of securities class action lawsuit filings involving accounting allegations increased in 2023 compared to 2022, but the 2023 accounting-related filings remained below the long-term annual average number of…
The CLS Blue Sky Blog
The Class Certification of Exchange-Listed Options in Securities Class-Action Litigation
By Don Chance, Steven Feinstein, Onnig H. Dombalagian
Class-action litigation for fraud on the market typically focuses on purchasers and sellers of stock. Yet those that traded in options on the shares can also be harmed. In a…
The CLS Blue Sky Blog
Commissioner Peirce Blasts SEC for Lack of Public Engagement
Let me start by reminding you that my views are my own as a Commissioner and not necessarily those of the Securities and Exchange Commission (“SEC”) or my fellow Commissioners.…
The D&O Diary
Health Services Management Company Hit with COVID-19 Related Securities Suit
Readers know that since the initial coronavirus-related outbreak in the U.S. in March 2020, I have been tracking the COVID-related securities suit filings. Even though the four-year mark since the…
ContractsProf Blog
Extraterritorial Reach of Securities Laws: Crypto Edition
It's crytpo week on the blog! On Monday, we wrote about recent smash-hit scholarship, Debt Tokens. In our latest episode on crypto, like in every episode, courts struggle to apply…
California Corporate & Securities Law Blog
Judge Rules Plaintiff Lacked Standing To Claim Damages Whilst Still Holding Securities
Part 5 of the California Corporate Securities Law of 1968 sets forth a number of fraudulent and prohibited practices. One of these practices is to "to offer or sell a…
The CLS Blue Sky Blog
Are Securities Class Actions Appropriate to Address Secondary-Trading Crypto Fraud?
Traders in the United States now routinely trade hundreds of crypto assets in secondary crypto markets, and the pool of tradable assets is growing. Through these transactions, traders have seen…
The D&O Diary
Life Sciences Companies Remained Frequent Securities Suit Targets in 2023
The number of securities class action lawsuits filed against life sciences companies in 2023 remained steady compared to 2022, as suits against life sciences companies represented almost one in five…
SEC Actions
This Week In Securities Litigation (Week of April 1, 2024)
Last week the Commission filed two new enforcement actions. Each case centered on insider trading claims. Be careful, be safe this week. Rules: The Commission adopted certain reforms tied to…
Ryan P. Smith Law Blog
Home Sweet Home
By Ryan
This June, the Financial Industry Regulatory Authority (FINRA) will permit a broker-dealer to designate a home office as a “Residential Supervisory Locations” (RSL) within its supervisory structures. (While this is…