Securities

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Latest News in Securities

  • May 21, 2024

    Conn. Law Firm's Trade Secrets Case Likely Moving To Fla.

    A trade secrets lawsuit brought by a Greenwich, Connecticut, law firm against a former independent contractor is poised to move to the Southern District of Florida after a federal judge in Hartford said Tuesday that a new venue appears to be more appropriate.

  • May 21, 2024

    5 Lessons From Ex-Vitol Trader's FCPA Conviction

    The recent Foreign Corrupt Practices Act and money laundering conviction of former Vitol oil trader Javier Aguilar in a New York federal court provides defense takeaways on issues ranging from the definition of “domestic concern” to jury instruction strategy, says attorney Andrew Feldman.

  • May 21, 2024

    SEC Amendments May Launch New Execution Disclosure Era

    The U.S. Securities and Exchange Commission's recently adopted amendments to Rule 605 of Regulation NMS for executions on covered orders in national market system stocks modernize and enhance execution quality reporting, but serious guidance is still needed to make the reports useful for the public investor, say attorneys at Sidley.

  • May 20, 2024

    Ex-BlackRock VP Says He Was Fired After Whistleblowing

    BlackRock Inc. has been sued in New York state court by a former vice president and purported whistleblower who alleged he faced retaliation and wrongful termination after raising concerns about self-dealing, corruption and conflicts of interest at the asset management firm.

  • May 20, 2024

    Crypto Groups Move To Ditch 'Irrational' SEC Dealer Rule

    A pair of crypto industry groups suing the U.S. Securities and Exchange Commission over its expansion of the dealer definition have asked a Texas federal judge to grant them a win in the suit and cut down the "unexplained and irrational rulemaking" they claim violated the rulemaking process.

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