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September 05, 2024 | Corporate Counsel

California DOJ Fines Robinhood $3.9M in First-Ever Crypto Enforcement Action

The company, which also is facing a U.S. Securities and Exchange Commission inquiry, finds itself in regulators' crosshairs despite legal chief Dan Gallagher's pledge to improve the company's compliance culture and work collaboratively with regulators.
3 minute read
September 04, 2024 | National Law Journal

Several Wall Street Law Firms See Work From SEC's Latest Enforcement Actions

Moody's Investors Service, which agreed to pay a $20 million civil penalty, turned to S&C partner Stephen Ehrenberg.
2 minute read
September 04, 2024 | New York Law Journal

Can the President Fire the SEC Chair or Other Commissioners?

Even if the President could entirely remove and/or reappoint the Chair or other Commissioners, the President would still have to meet the statutory requirements regarding political party affiliations and staggered terms.
16 minute read
September 04, 2024 | The American Lawyer

Paul Hastings' Vice Chair of Cap Markets and Securities Group Heads to Freshfields

Christopher DeCresce focuses on the financial services, banking and fintech sectors.
3 minute read
September 03, 2024 | Corporate Counsel

Tegna Legal Chief Ousted Just 9 Months After Taking Post

Lauren Fisher's exit as chief legal officer comes on the heels of Tegna replacing the CEO who had hired her for the role.
3 minute read
Law Journal Press | Digital Book Federal Trade Commission: Law, Practice and Procedure Authors: Peter C. Ward View this Book

View more book results for the query "U.S. Securities and Exchange Commission"

September 03, 2024 | Daily Business Review

Court Approves $4M Sale of Coral Gables Condo in SEC Fraud Case Against Rishi Kapoor

"The receiver has shown that the proposed sale will maximize the value of the Valencia Unit 1104 property, particularly since the sale contract is the highest all cash offer received with no pending inspection period," the federal district court judge ruled in the order.
3 minute read
August 28, 2024 | Legaltech News

Tracking Generative AI: How Evolving AI Models Are Impacting Legal

A running compilation of how the legal landscape continues to be shaped by generative AI tools, from GPT technologies to art generation tools and beyond.
202 minute read
August 28, 2024 | National Law Journal

'Any NFT Is a Security': What an SEC Wells Notice Sent to OpenSea Could Mean for Attorneys

"The risk has been in the back of people's minds, but it has not been the same type of issue as creating a cryptocurrency," said Cameron Pick, a partner at Marshall, Gerstein & Borun.
4 minute read
August 28, 2024 | Daily Business Review

Securities Claims Against Lilium N.V. for Electric Plane Production Delays Fail to Take Flight, Federal Judge Holds

"In this case, Plaintiff cannot recast the alleged misrepresentations as a 'scheme' to avoid the [Private Securities Litigation Reform Act's] heightened pleading standards for alleged misrepresentations," U.S. District Judge Robin L. Rosenberg of the Southern District of Florida said.
5 minute read
August 28, 2024 | Law.com

These Judges Are Under Fire as Lawyers Challenge Their Authority

The suits cite the holding from Jarkesy that the Seventh Amendment requires the SEC to bring civil penalty proceedings for security fraud in federal court, where the defendant is entitled to a jury, rather than do so in an in-house administrative proceeding.
5 minute read

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