SEC and FINRA 2020 Priorities: What to Expect and How to Deal with It

By David G. Buffa – May 5, 2020 | A review of recent guidance and disciplinary actions indicating three main points of emphasis for 2020, as well as practical tips and considerations from FINRA’s recent organizational changes.

Issues and Strategies for Representing Individual Defendants in Securities Class Actions

By Adam C. Trigg – May 5, 2020 | Working with company counsel under a joint defense agreement, ensuring indemnification and insurance coverage, fact gathering and document sharing, and crafting a motion to dismiss.

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Practice Points

Seventh Circuit Issues New Class Certification Decision

By Danielle S. Myers – July 22, 2020 | The ruling touches on price impact and several other hot topics.

Early Lessons from the First COVID-19 Securities Class Action Lawsuits to Hit Cruise Line and Pharmaceutical Company

By Craig C. Martin, Paul B. Rietema, Howard S. Suskin – May 20, 2020 | Directors and officers of public companies should exercise great care in any public statements regarding the impact of COVID-19 on their businesses, and carefully consider and document the steps they are taking to oversee and respond to COVID-19 developments.

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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.

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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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