A recent federal court decision granting summary judgment to the Securities and Exchange Commission (SEC) in an unregistered securities dealer enforcement action sent shockwaves through the financi...
Whistleblowers have become increasingly integral to financial regulatory enforcement efforts in recent years. Both the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Com...
A high-profile Freedom of Information Act (FOIA) lawsuit brought by law firm Gibson, Dunn & Crutcher against the Securities and Exchange Commission (SEC) has thrown an intense spotlight on conc...
The proposed 2023 amendments to the Delaware General Corporation Law (DGCL) are poised to revolutionize the corporate landscape, particularly for microcap companies. These amendments, which aim to ...
On June 27, 2023, the Securities and Exchange Commission (SEC) filed a settled complaint against former executives of MusclePharm Corp., a Las Vegas-based nutritional supplement company. The charge...
As the wave of regulatory scrutiny from the SEC intensifies against the world of cryptocurrencies, including substantial legal actions against giants such as Binance, the world's leading crypto ass...
On June 20, 2023, the Securities and Exchange Commission (SEC) charged New York-based investment adviser Insight Venture Management LLC with overcharging management fees and failing to disclose a c...
In a recent address at the Securities Enforcement Forum West Conference, Gurbir Grewal, the Director of the Division of Enforcement for the U.S. Securities and Exchange Commission (SEC), made headl...
The NYSE submitted a proposed rule change to the SEC that would revise the initial listing requirements.
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Scott Taffet discusses how New York litigators are overlooking the Offer to Compromise as a powerful but underused settlement tool.
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