By Ben Hancock | March 14, 2018
CEO Elizabeth Holmes has agreed to pay a $500,000 penalty, return the remaining 18.9 million shares she obtained during the fraud, and relinquish her voting control of Theranos.
By Jennifer Schwartz, Tammy Marzigliano and Amy Biegelsen | March 14, 2018
Employees must report to the Securities and Exchange Commission to state a retaliation claim under Dodd-Frank, internal reporting alone is no longer sufficient.
By Ross Todd | March 13, 2018
San Francisco-based Credit Karma, a pre-IPO financial technology company, agreed to pay a $160,000 penalty after the SEC found that it failed to offer employees financial statements and risk disclosures in conjunction with company-offered stock options.
By Ben Hancock | March 2, 2018
The company is accused of tipping off employees to the launch of trading in Bitcoin Cash on its exchange, allowing regular investors to be ripped off.
By Ben Hancock | February 21, 2018
The document released Wednesday is the first guidance to be issued on cybersecurity disclosure by SEC commissioners, and comes six years after the agency's staff issued a more limited guidance in 2011.
By Nicolas Morgan and Adam M. Reich | February 14, 2018
Despite the recent downswing in cryptocurrency markets, investor interest has not waned. An increasing number of investment funds is emerging that focus on cryptocurrencies including tokens from Initial Coin Offerings or ICOs.
By Amanda Bronstad | January 30, 2018
Securities class action filings hit record levels in 2017, driven primarily by lawsuits challenging mergers and acquisitions, according to two prominent studies that came out this week.
By Samantha Joseph | January 26, 2018
A California attorney pleads guilty to a securities conspiracy charge in a pump-and-dump stock scam.
New York Law Journal | In Brief
By Colby Hamilton | January 17, 2018
Robert Bogucki arraigned Wednesday on wire fraud charges for allegedly “front-running” ahead of a large trade on behalf of his client, Hewlett-Packard.
By Scott Flaherty | January 8, 2018
The new firm will be based in New York and says it will have a nationwide focus on securities fraud, data breach, antitrust, consumer fraud, opioid and other cases involving commercial and pharmaceutical malfeasance.
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