Breton Leone-Quick

Breton Leone-Quick

Mintz Levin

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Court Limits Scope of SEC Disgorgement In Case Involving Failure to Disclose Beneficial Interests

Just last week, Judge Scheindlin from the Southern District of New York precluded the SEC from seeking wide-ranging disgorgement in an order issued in the SEC v. Wyly, 10-cv-5760 (S.D.N.Y.) case....more

8/5/2014 - Compliance Disclosure Requirements Disgorgement Failure to Notify SEC

Two Observations From the SEC’s First Settlement Under its Municipalities Continuing Disclosure Cooperation Initiative

Just yesterday, the SEC announced its first settlement pursuant to its Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. ... Here are two observations on this settlement that could shed some light on...more

7/10/2014 - Disclosure Requirements Enforcement Enforcement Actions Municipalities SEC Settlement

Five Questions and Answers About the Second Circuit’s SEC v. Citigroup Decision

Last week we posted a summary of the Second Circuit’s decision in SEC v. Citigroup Global Markets, Inc. This week, as a follow-up, we pose the following five “yes or no” questions and provide responses as a way to further...more

6/11/2014 - Admissions of Liability Citigroup Judge Rakoff Neither Admit Nor Deny Settlements SEC SEC v Citigroup Settlement

The Case That Could Significantly Disrupt How Companies Manage Their Gift Card Programs and Could Create Billions of Dollars in...

Every company with a gift card program should be aware of the recently unsealed qui tam case in Delaware titled State of Delaware ex rel. French v. Card Compliant, LLC, et al., N13C-06-289 (Superior Court of Delaware, New...more

5/21/2014 - False Claims Act False Reporting Gift-Cards Qui Tam Unclaimed Property

SEC Cybersecurity Initiative: Five Steps ALL Broker-Dealers and Investment Advisers Should be Taking

Last week, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert announcing its Cybersecurity Initiative....more

5/6/2014 - Broker-Dealer Cyber Attacks Cyber Insurance Cybersecurity Cybersecurity Framework Data Breach Data Protection Identity Theft OCIE Red Flags Rule SEC

Specific Steps Broker-Dealers and Investment Advisers Should Take in Response to the SEC’s Cybersecurity Initiative

On April 15, 2014 the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert announcing its Cybersecurity Initiative....more

4/28/2014 - Broker-Dealer Brokers Cyber Attacks Cybersecurity Data Protection OCIE SEC

SEC Enforcement Staff’s Investigations of Financially Stressed Municipal Issuers

As reported by the Wall Street Journal, the SEC Enforcement Staff is one year into a wide-ranging review of disclosures made by financially stressed municipal bond issuers. This review has focused on whether municipalities...more

4/4/2014 - Enforcement Actions Municipalities SEC

Proxy Season Litigation Primer: Defending Shareholder Suits to Enjoin Annual Meetings for Allegedly Inadequate Disclosures...

Over the past few years, as plaintiffs have found it increasingly harder to succeed in “say-on-pay” litigation, another type of litigation over proxy disclosures has been on the rise. These cases are generally brought as...more

3/21/2014 - Board of Directors Class Action Equity Compensation Executive Compensation Fiduciary Duty Professional Liability Proxy Season Say-on-Pay

Comments on Proposed Rules Amendments (Rules 26, 34, and 37)

Mintz Levin compliments the Committee and supports the proposed amendments to the Federal Rules of Civil Procedure because, on balance, the proposals seek to reduce the costs of discovery and litigation of document...more

2/21/2014 - Federal Rules of Civil Procedure Proposed Amendments

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