Two men share securities regulation news

Breaking news and expert analysis on legal and compliance issues

Recent News

Shareholder plausibly alleges fraud against Zillow, officers
Second amended complaint alleged more particularized facts that Zillow designed its co-marketing program to allow, and even encourage agents and lenders to violate RESPA. This cured deficiencies that resulted in a prior dismissal
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Apple accused of rotten disclosure by pension fund
A Michigan-based retirement fund seeks class action status alleging false and misleading disclosure by Apple and its top executives.
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FXCM was simply surprised by Swiss Franc de-pegging
A large currency movement was a black swan event, and a retail foreign exchange broker holding a large position was simply blindsided.
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Court of Chancery’s stock valuation method was an abuse of discretion
The Court of Chancery abused its discretion by conducting a stock valuation by using a 30-day average market price as the fair value of shares, without taking any other factors into account.
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Western Union board wins dismissal of AML derivative complaint
The shareholders fell short of pleading under Caremark that Western Union officers and directors willfully failed to implement an anti-money-laundering compliance program.
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New Jersey is second state to propose uniform fiduciary standard
The New Jersey Securities Bureau believes the same fiduciary standard for broker-dealers and investment advisers will protect investors beyond the SEC’s Regulation Best Interest or the current broker-dealer suitability standard.
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SEC charges investment directors in $1.2 billion Ponzi scheme
The SEC is going after two investment directors who oversaw an army of sales agents in a gigantic Ponzi scheme that collapsed in 2017, causing hundreds of millions of dollars in losses to investors.
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SEC Corp Fin, accounting officials weigh in on recent initiatives at SEC Speaks
The panelists tackled topics including recent Corp Fin rulemaking, recommendations about how to disclose issues related to Brexit and LIBOR, and the use of non-GAAP measures.
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Hung jury unable to render a verdict for software developer ensnared in spoofing scheme
A deadlocked federal jury voted 10-2 to acquit a Naperville, Illinois computer programmer charged with two counts of aiding and abetting spoofing.
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Commissioner Jackson outlines priorities at SEC Speaks
Jackson said he would like to see the Commission revisit current insider trading law and rules regarding Form 8-K disclosure timeframes.
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