Litigation Release News Today

On November 14, 2023, the Securities and Exchange Commission (the “SEC”) published its enforcement results for fiscal year 2023. FY23 was another active year in terms of SEC...

Global Investigations Review (GIR) is the hub for global coverage of corporate investigations and their aftermath. Keep up to date with significant developments in the corporate investigations world.

Described as the "Wild West" by SEC Chairman Gary Gensler, the meteoric rise of digital assets like cryptocurrencies has disrupted the traditional financial ecosystem. The wave of...

There has been lots of breathless commentary in the financial press and the blogosphere over the SEC’s August 2021 filing of an insider-trading case involving so-called “shadow...

There has been lots of breathless commentary in the financial press and the blogosphere over the SEC's August 2021 filing of an insider-trading case involving so-called "shadow trading."

To embed, copy and paste the code into your website or blog: Recent warnings from the US Securities and Exchange Commission ("SEC") and the US Congress could translate into more aggressive scrutiny of trading plans adopted pursuant to Rule 10b5-1 of the Securities and Exchange Act of 1934 ("Exchange Act"). In a speech delivered on June 7, 2021, SEC Chair Gary Gensler identified several "cracks" in Rule 10b5-1 trading plans that could allow for insider trading. 1 A few days later, the SEC releas...

Short selling is a type of short selling occurs when an investor borrows a security and sells it on the open market, planning to buy it back later for less money. Naked short selling is unlawfully short selling shares that have neither been borrowed nor located. Bad Idea.

To embed, copy and paste the code into your website or blog: An appellate court upheld a judgment that clever omissions from statements made by a corporate officer constituted securities fraud. On January 22, 2021, the U.S. Court of Appeals for the First Circuit in Boston, Massachusetts upheld a jury’s fraud verdict against an executive in a securities case tried in the U.S. District Court for the District of Massachusetts. 1  In a 30-page opinion, the Court in SEC v. Johnston 2  refused t...