Compliance Hot Spots: SEC & Social Media | Emmet Flood's Work at Williams & Connolly | Uber Poaches from Covington
New analysis about the SEC settlements that restrict investment advisers from using client endorsements in advertisements. What's behind the lag in SEC whistleblower cases? Plus: the latest moves, including a Covington partner jumping to Uber. Thanks for reading Compliance Hot Spots.
August 07, 2018 at 09:30 PM
2 minute read
Welcome to Compliance Hot Spots, our briefing on compliance, enforcement and government affairs. We're spotlighting the latest sign the Securities and Exchange Commission is stepping up its scrutiny of social media—specifically, whether posts by investment advisers improperly incorporate praise from clients. And scroll down for some big client work on the compliance front, and some of the noteworthy new promotions. Thanks for reading—and please do send feedback. I'm enjoying—and appreciate—all the feedback you are sending me. I'm at [email protected] and 202-828-0315, or follow me on Twitter @cryanbarber. 
Donald Trump Roseanne Barr announced K&L Gates noted Michael McGrath Pablo Man Britney Ryan 
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Who Got the Work
Here's a new financial disclosure first reported at NLJ Williams & Connolly Emmet Flood Hogan Lovells according Aaron Cutler Norm Coleman reported in June Covington & Burling biggest Washington lobbyists helped Qualcomm 
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Compliance Catch-up: SEC Whistleblower Cases Lag; States Hiring Data Specialists
according Jane Norberg reported reports Eight months later my report at NLJ Roger Gregory reports according complaint here 
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On the Move: Promotions, New Hires & One Potential Nominee
hired Covington Keir Gumbs Todd Hamblet, Tony West Allison Lee told Kara Stein Brooke Cucinella joining Simpson Thacher & Bartlett Lilya Tessler McDermott, Will & Emery joins Sidley Austin Got a new move or promotion? Reach me at [email protected] and 202-828-0315.
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Who Got The Work
Michael G. Bongiorno, Andrew Scott Dulberg and Elizabeth E. Driscoll from Wilmer Cutler Pickering Hale and Dorr have stepped in to represent Symbotic Inc., an A.I.-enabled technology platform that focuses on increasing supply chain efficiency, and other defendants in a pending shareholder derivative lawsuit. The case, filed Oct. 2 in Massachusetts District Court by the Brown Law Firm on behalf of Stephen Austen, accuses certain officers and directors of misleading investors in regard to Symbotic's potential for margin growth by failing to disclose that the company was not equipped to timely deploy its systems or manage expenses through project delays. The case, assigned to U.S. District Judge Nathaniel M. Gorton, is 1:24-cv-12522, Austen v. Cohen et al.
Who Got The Work
Edmund Polubinski and Marie Killmond of Davis Polk & Wardwell have entered appearances for data platform software development company MongoDB and other defendants in a pending shareholder derivative lawsuit. The action, filed Oct. 7 in New York Southern District Court by the Brown Law Firm, accuses the company's directors and/or officers of falsely expressing confidence in the company’s restructuring of its sales incentive plan and downplaying the severity of decreases in its upfront commitments. The case is 1:24-cv-07594, Roy v. Ittycheria et al.
Who Got The Work
Amy O. Bruchs and Kurt F. Ellison of Michael Best & Friedrich have entered appearances for Epic Systems Corp. in a pending employment discrimination lawsuit. The suit was filed Sept. 7 in Wisconsin Western District Court by Levine Eisberner LLC and Siri & Glimstad on behalf of a project manager who claims that he was wrongfully terminated after applying for a religious exemption to the defendant's COVID-19 vaccine mandate. The case, assigned to U.S. Magistrate Judge Anita Marie Boor, is 3:24-cv-00630, Secker, Nathan v. Epic Systems Corporation.
Who Got The Work
David X. Sullivan, Thomas J. Finn and Gregory A. Hall from McCarter & English have entered appearances for Sunrun Installation Services in a pending civil rights lawsuit. The complaint was filed Sept. 4 in Connecticut District Court by attorney Robert M. Berke on behalf of former employee George Edward Steins, who was arrested and charged with employing an unregistered home improvement salesperson. The complaint alleges that had Sunrun informed the Connecticut Department of Consumer Protection that the plaintiff's employment had ended in 2017 and that he no longer held Sunrun's home improvement contractor license, he would not have been hit with charges, which were dismissed in May 2024. The case, assigned to U.S. District Judge Jeffrey A. Meyer, is 3:24-cv-01423, Steins v. Sunrun, Inc. et al.
Who Got The Work
Greenberg Traurig shareholder Joshua L. Raskin has entered an appearance for boohoo.com UK Ltd. in a pending patent infringement lawsuit. The suit, filed Sept. 3 in Texas Eastern District Court by Rozier Hardt McDonough on behalf of Alto Dynamics, asserts five patents related to an online shopping platform. The case, assigned to U.S. District Judge Rodney Gilstrap, is 2:24-cv-00719, Alto Dynamics, LLC v. boohoo.com UK Limited.
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