By Cheryl Miller | October 26, 2017
San Francisco-based startup Zenefits will pay $450,000 to settle federal claims that company leaders falsely told investors that employees were licensed to sell insurance.
By C. Ryan Barber | October 26, 2017
Jane Norberg, the head of the SEC's whistleblower office, said the corporate world is getting the hint and not using severance agreements to stifle would-be tipsters. “The good news is that I have seen some improvement in this area,” Norberg said Thursday at a securities conference in Washington. The “message is out there” that severance agreements cannot include terms preventing employees from contacting regulators, she added.
By Colby Hamilton | October 26, 2017
NASDAQ, the world's second-largest stock exchange, filed suit in the U.S. District Court for the Southern District of New York Thursday against a New Jersey fund management company, claiming it is attempting to steal a number of multimillion-dollar exchange-traded funds in its care.
By Colby Hamilton | October 26, 2017
Deutsche Bank has agreed to a $220 million, 45-state settlement over its role in the manipulation of the benchmark London Interbank Offered…
By Colby Hamilton | October 25, 2017
The U.S. Court of Appeals for the Second Circuit declined Wednesday to review a decision by the U.S. Securities and Exchange Commission to uphold the lifetime barring of former broker Talman Harris from the financial industry.
Corporate Counsel | Commentary
By Laura R. Kuntz | October 25, 2017
U.S. public companies, other than emerging growth and smaller reporting companies, are tackling their first pay ratio disclosures.
By Colby Hamilton | New York Law Journal | October 19, 2017
A Train, Babcock Advisors investment adviser was charged Thursday by the U.S. Securities and Exchange Commission with allegedly stealing more than $9 million from the Kurr Foundation.
By Colby Hamilton | New York Law Journal | October 19, 2017
The U.S. Court of Appeals for the Second Circuit affirmed a district court dismissal of a securities suit against investors in Men's Wearhouse Inc. for allegedly making short-swing trades ahead of the reorganization of the men's retailer under a holding company.
By Scott Flaherty | New York Law Journal | October 19, 2017
Picking up three former Bracewell lawyers, Hogan Lovells has expanded its securities litigation group in New York.
By Ross Todd | The Recorder | October 17, 2017
SAN FRANCISCO—Twitter Inc. has missed on an early attempt to knock out claims that it misled investors about the growth of its daily user base during…
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