Articles

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

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.

New COVID-19 Securities Developments: Class Action Omissions Theory and SEC Enforcement Actions

By Gabriel K. Gillett, Katherine M. Funderburg, Paul B. Rietema, and Howard S. Suskin – May 20, 2020 | As companies continue to grapple with the economic impact of the pandemic, expect to see an uptick in shareholder litigation stemming from alleged omissions and misrepresentations.

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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.

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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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