Daniel Laguardia

Daniel Laguardia

Shearman & Sterling LLP

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SEC Says Confidentiality Agreements May Impede Whistleblowers

On April 1, 2015, the United States Securities and Exchange Commission (“SEC” or “Commission”) filed its first enforcement action under Section 21F of the Securities Exchange Act of 1934 (“Exchange Act”) and Exchange Act Rule...more

4/3/2015 - Confidentiality Agreements Contract Terms Enforcement Actions KBR (formerly Kellogg Brown & Root) SEC Whistleblower Protection Policies Whistleblowers

Securities Enforcement 2014 Year-End Review

Fiscal year 2014 proved to be another eventful and record-breaking year for the Division of Enforcement (Enforcement Division) of the United States Securities and Exchange Commission (SEC or the Commission). Indeed, the...more

1/29/2015 - Broken Windows Enforcement Actions Enforcement Statistics SEC Strategic Enforcement Plan

Securities Enforcement 2014 Mid-Year Review

While not nearly as transformative and dramatic as the first half of 2013 and the early days of Chair Mary Jo White and Director of Enforcement Andrew Ceresney, the first six months of 2014 was just as busy and productive...more

8/1/2014 - Citigroup Enforcement Enforcement Actions Judge Rakoff Neither Admit Nor Deny Settlements SEC Settlement

SEC Enforcement Year in Review - 2013

Marked by leadership changes, high-profile trials, and shifting priorities, 2013 was a turning point for the Enforcement Division of the Securities and Exchange Commission (the “SEC” or the “Commission”). While the results of...more

1/9/2014 - Accounting Fraud Auditors Bribery Broker-Dealer China Deferred Prosecution Agreements Disclosure Dodd-Frank Enforcement Actions FCPA FIRREA Injunctions Insider Trading Investment Adviser Mary Jo White Municipal Securities Issuers Neither Admit Nor Deny Settlements SEC Securities Fraud Statute of Limitations Whistleblowers

Second Circuit Addresses Materiality of Alleged Omissions at the Pleading Stage

Earlier this week, the United States Court of Appeals for the Second Circuit issued a noteworthy decision regarding the standard for judging the materiality of alleged omissions in a class action lawsuit brought under Section...more

7/25/2013 - Class Action Exchange-Traded Products Materiality Omissions Pleadings SEC

The Eleventh Circuit Rules that the Disclosure of an SEC Investigation is Insufficient to Plead Loss Causation

The US Court of Appeals for the Eleventh Circuit recently issued an important decision that addresses two types of allegations that plaintiffs routinely rely on to plead loss causation in federal securities fraud cases. In...more

3/19/2013 - Causation Loss Causation Pleading Standards Pleadings SEC

Supreme Court rejects SEC’s request for exception to statute of limitations in Gabelli

On February 27, 2013, the Supreme Court issued its much-anticipated decision in Gabelli v. SEC, unanimously rejecting the SEC’s view that government agencies can bring enforcement actions seeking civil penalties for...more

3/1/2013 - Gabelli v SEC SCOTUS SEC Statute of Limitations

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