Four Proactive Steps for Public and Private Companies to Take In Light of Recent SEC Enforcement Announcements
By Brian Neil Hoffman – October 21, 2021 | Companies have a roadmap to preemptively address some core concerns.
Securities Litigation
The Securities Litigation Committee has a diverse membership that includes attorneys from both the plaintiff and defense perspective, corporate counsel, and academics. The committee strives to be an invaluable resource to those practicing or interested in securities litigation, arbitration, or regulatory enforcement matters.
Articles
Overcoming the Status Quo: Women Securities Litigators in the Courtroom and the Boardroom
By Susan S. Muck and Charlene (Chuck) Shimada – April 1, 2021 | As we continue to press for greater agency and equality, here are a few suggestions to help women securities litigators remain top of mind with clients.
Practice Points
Court Adopts SEC's New Unregistered Dealer Theory, Creates Risk of Disgorgement and Penalties for Anyone Trading Securities as Part of a Business
By Anthony Barkow, Gabriel K. Gillett, Charles D. Riely, Grace C. Signorelli-Cassady, and Kelsey Stimple – August 16, 2023 |Various financial market participants may be at risk after the SEC secured summary judgment in SEC v. Fierro.
No April Fool’s Joke
By Danielle S. Myers – February 21, 2023 | New SEC rule 10b5-1 amendments effective as of April 1, 2023.
Audio
Liu v. SEC: Civil Disgorgement on the Chopping Block
By Matthew P. Allen – March 2, 2020 | In this Sound Advice, Matthew P. Allen summarizes the parties' legal positions in Liu, and offers a structure to defend an SEC disgorgement action.
Post-Cyan Developments: State and Federal Court Litigation Update
By Josh Jones and Danielle Myers – December 10, 2019 | In Cyan, the Supreme Court held that class actions solely alleging violations of Section 11 of the Securities Act of 1933 could be heard in state court and were not removable under SLUSA. In this Sound Advice , Josh Jones and Danielle Myers consider the state and federal court developments in the eighteen months since the opinion was issued.
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Programs & CLE
Oct
19
Events | In-Person
Class Actions 2023
ETHICS 60 min
This premier class-action conference will take place in Chicago and is more relevant than ever. Whether you litigate and try class action lawsuits, want to learn how to best help your clients, or lea…
Nov
01
Events | In-Person
Women in Litigation Joint CLE Conference
CLE 60 min
Join us as we highlight women leading for success in the courtroom, in the judiciary, and in the profession. This year's conference will feature 9 plenary programs and several networking events.