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Connecticut Law Tribune

Alexion Pharmaceuticals Slapped with Class Action Securities Suit

The suit accuses the company of overstating the strength of Soliris, one of the most expensive drugs in the world.
7 minute read

National Law Journal

Exploding Coffee Machines, CFPB Tested and a DOJ Lawyer's Mea Culpa: Regulatory 2016

The Consumer Financial Protection Bureau faced a new test after a major appeals court ruling struck down the Obama agency's power scheme. A dispute over an exploding coffee machine revealed tension over the scope of product-safety fines. And a top Justice Department lawyer offered an apology to prosecutors after some choice words about lack of oversight in some U.S. attorney offices. Here's a roundup of some of the top regulatory and compliance stories of 2016.
15 minute read

The American Lawyer

Baker & Hostetler Bags Bankruptcy Role for Troubled Energy Firm

Two months after the SEC cracked down on the founders of Dakota Plains Holdings Inc., the midstream energy company filed for bankruptcy in Minneapolis shortly before Christmas. Dakota Plains, which is seeking a sale as part of its Chapter 11 proceedings, owes thousands of dollars to three law firms.
23 minute read

The Recorder

SEC Alleges California Lawyer Duped Foreign Investors

Securities regulators accused a Newport Beach, California, lawyer on Tuesday of fueling a luxury lifestyle through a scheme that allegedly bilked millions of dollars from foreign investors who wanted to speed up their immigration to the United States.
7 minute read

National Law Journal

SEC Accuses California Lawyer in Scheme to Defraud Foreign Investors

Securities regulators accused a Newport Beach, California, lawyer on Tuesday of fueling a luxury lifestyle through a scheme that allegedly bilked millions of dollars from foreign investors who wanted to speed up their immigration to the United States.
7 minute read

The Recorder

Rainero v. Archon Corporation

By | December 21, 2016
4 minute read

New York Law Journal

Salman Insider Trading Decision: Lessons for Buy-Side Advisors

Karl A. Groskaufmanis and Samuel P. Groner, of Fried, Frank, Harris, Shriver & Jacobson, examine the U.S. Supreme Court decision in 'Salman v. United States' on the test for tipper/tippee liability in insider trading law. They explain that it sets a line that separates fundamental investment research from fraudulent and potentially criminal conduct. While the case marks a clear victory for federal insider trading enforcement, they note that it also multiplies the challenges for lawyers and compliance officers advising buy-side investors.
18 minute read

National Law Journal

The SEC Whistleblower Program's Biggest Year—By the Numbers

The U.S. Securities and Exchange Commission's whistleblower program reached a milestone on Aug. 30. Five years after the program was created under the Dodd-Frank financial reform law, the second-largest bounty in the whistleblower office's history pushed the awards total past the $100 million mark—and the SEC was ready to celebrate. That amount only tells part of the story. Here's a deeper look into the numbers behind the program's big year.
17 minute read

National Law Journal

Cleary Snags SEC Litigation Chief Matthew Solomon in DC

Solomon spent more than three years as chief litigation counsel in the SEC's Enforcement Division.
9 minute read

The Recorder

Firms Snap Up Theranos Work After Boies Schiller Exits

The embattled company has tapped Wilmer Cutler in a pair of investor suits. Meanwhile, CEO Elizabeth Holmes has turned to Cooley.
27 minute read

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