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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.

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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.

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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.

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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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