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Settlement Securities Regulation Securities Litigation

Moore & Van Allen PLLC

SEC Settlement Reminds Firms to Periodically Review Their Use of Models, Calculators and Tools When Making Client Recommendations

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On October 2, 2024, the Securities and Exchange Commission (“SEC”) announced it had settled enforcement proceedings against Thrivent Investment Management, Inc. (“Thrivent”), a SEC dually-registered broker-dealer and...more

A&O Shearman

Fifth Circuit Securities Litigation Quarterly: Third Quarter 2024

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Welcome to the Q3 2024 edition of A&O Shearman’s Fifth Circuit Securities Litigation Quarterly. As public companies and financial institutions continue to migrate to Texas, our Texas-based securities litigation team continues...more

Sheppard Mullin Richter & Hampton LLP

Latest Round of SEC “Off-Channel” Communications Settlements Highlights Risks for Investment Advisers and Benefits of...

More than two years after announcing the first round of settlements in the ongoing “off-channel communications” probe, the SEC recently announced another round of settlements with 26 financial firms, totaling $390 million in...more

Alston & Bird

SEC Settlement Suggests the Agency’s Attempt to Regulate Cybersecurity Controls

Alston & Bird on

Does the R.R. Donnelley settlement mean heightened Securities and Exchange Commission (SEC) involvement in regulating public companies’ cybersecurity policies and practices? Our Securities Litigation, Privacy, Cyber & Data...more

Woodruff Sawyer

How to Minimize Risk in the Current Litigation Environment

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This month's SPAC Notebook follows up on our recent discussion of risk mitigation and due diligence tips for foreign companies going public in the US. We want to share more information on the current litigation environment...more

Bass, Berry & Sims PLC

SEC Settlement against Auditing Firm Serves as Reminder of Important Independence Rules

On February 29, the Securities and Exchange Commission (the SEC) announced that it settled an administrative proceeding against Lordstown Motors Corps’ former auditor, Clark Schaefer Hackett and Co. (CSH)—the same day that...more

Sheppard Mullin Richter & Hampton LLP

[Webinar] Recent Trends In Securities Class Actions - October 24th, 10:00 am - 10:45 am PT

This presentation will review recent trends surrounding securities class action cases, including the impact on public companies, the industries being targeted the most, the factors most likely to trigger a lawsuit, recent...more

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