The SEC’s high-profile litigation against SolarWinds and its Chief Information Security Officer (CISO), Timothy G. Brown, reached a critical turning point on July 18, 2024, when a district court in the Southern District of...more
The SEC’s high-profile litigation against SolarWinds and its Chief Information Security Officer (CISO), Timothy Brown, reached a critical juncture on May 15, 2024, when the parties presented oral arguments before Judge Paul...more
This week, the SEC filed a high-profile litigation asserting fraud and internal controls charges against software company SolarWinds Corporation and its Chief Information Security Officer, Timothy G. Brown, in connection with...more
11/3/2023
/ CFOs ,
Chief Information Security Officer (CISO) ,
Corporate Counsel ,
Corporate Governance ,
Corporate Officers ,
Cybersecurity ,
Information Security ,
Information Technology ,
Popular ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Litigation ,
Securities Violations ,
Security Breach
Three federal judges in the Southern District of New York sit at the center of the long-running battle between the SEC and the crypto industry, overseeing cases that may eventually bring clarity to the industry. After two...more
8/14/2023
/ Blockchain ,
Buyers ,
Coinbase ,
Cryptocurrency ,
Digital Assets ,
Digital Platforms ,
Enforcement Actions ,
Howey ,
Investment Contract ,
Investment Platforms ,
Popular ,
Ripple ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Securities Regulation ,
Sellers
A broad array of financial market participants—mutual funds, private funds, insurers, pension funds, family offices, individuals, and more—may be at risk after the Securities and Exchange Commission (SEC) secured summary...more
The DOJ and SEC have made no secret of their interest in combatting potential insider trading by high-level executives misusing Rule 10b5-1 plans. Those plans provide a potential safe harbor for executives trading their...more
3/15/2023
/ 10b5-1 Plans ,
Analytics ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Highly Compensated Employees ,
Insider Trading ,
MNPI ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Stock Trades ,
White Collar Crimes