Danielle Van Wert

Danielle Van Wert

Orrick, Herrington & Sutcliffe LLP

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It’s Not Easy Being Green: LeapFrog Execs Dodge Class-Action Over Sales Projections

On August 2, 2016, U.S. District Judge Edward Chen dismissed a shareholder lawsuit brought against children’s educational toymaker LeapFrog Enterprises, Inc. (“LeapFrog”) for failure to adequately plead statements were false...more

8/9/2016 - Children's Products Children's Toys Corporate Counsel Dismissals Earnings Reports Misleading Statements PSLRA Safe Harbors Section 10(b) Securities Securities Litigation Shareholder Litigation Shareholders

The Whistle Blows Again: SEC Pays Second Largest Whistleblower Bounty Award

On June 9, 2016, the Securities and Exchange Commission (‘SEC”) awarded the second largest whistleblower bounty – $17 million – granted under the Dodd-Frank whistleblower rules to date. Previously, the highest whistleblower...more

6/21/2016 - Dodd-Frank Enforcement Actions SEC Securities Violations Whistleblower Awards Whistleblowers

Regulation S-K Concept Release: Will the SEC Reform the Norm for Corporate Disclosures?

On April 13, 2016, the SEC published a concept release discussing and seeking public comment on modernizing certain business and financial disclosures required by Regulation S-K, which lays out reporting requirements for...more

5/3/2016 - Comment Period Disclosure Requirements Publicly-Traded Companies Regulation S-K Reporting Requirements SEC

Second Circuit Applies Omnicare to Affirm Dismissal of Securities Fraud Actions

On March 4, 2016, the Second Circuit affirmed the dismissal of two related securities actions against Sanofi Pharmaceuticals, its predecessor Genzyme Corporation, and three company executives (collectively, “Sanofi”). In...more

3/15/2016 - FDA Misleading Statements Omnicare v Laborers District Council Pharmaceutical Industry Popular Securities Litigation Statement of Opinion

New Year, New Priorities for the SEC’s Office of Compliance Inspections and Examinations

On January 11, 2016, the SEC announced its Office of Compliance Inspections and Examinations (OCIE) priorities for the year . The announcement included several new areas of focus, including liquidity controls, public...more

1/21/2016 - ETFs Liquidity OCIE SEC SEC Examination Priorities Variable Annuities

You Can’t Cover Up Fraud with TARP Funds: US Government Sues Bank President’s Estate

On July 1, 2015, the United States for the District of Columbia sued the estate and trusts of the late Layton P. Stuart – the former owner of One Financial Corporation and its subsidiary One Bank & Trust– and the trust’s...more

7/14/2015 - Civil Conspiracy False Claims Act (FCA) Fraud Mistake of Fact TARP U.S. Treasury

The SEC Criticizes One of Its Own

Even with the SEC’s home-court advantage in bringing enforcement actions in its administrative court rather than in federal court, the SEC will still criticize its own administrative law judges (“ALJ”) when an ALJ’s decision...more

5/6/2015 - Article III Broker-Dealer Municipal Securities Market Ponzi Scheme Popular SEC

Remote Tippees Beware: Even if the DOJ Can’t Reach You After Newman, The SEC Can

The fall-out from the Second Circuit’s decision in U.S. v. Newman continued last week in SEC v. Payton, when Southern District of New York Judge Jed S. Rakoff denied a motion to dismiss an SEC civil enforcement action against...more

4/15/2015 - Brokers Criminal Prosecution DOJ Enforcement Actions Illegal Tipping Insider Trading Judge Rakoff Material Nonpublic Information Misappropriation Personal Benefit SEC US v Newman

To Whom Must The Whistle Blow? SEC Asks Second Circuit for Deference on Scope of Dodd-Frank Whistleblower Protection

In an amicus brief filed earlier this month in Berman v. Neo@Ogilvy LCC, the SEC asked the Second Circuit to defer to the Commission and hold that individuals who report misconduct internally are covered by the...more

2/25/2015 - Anti-Retaliation Provisions Dodd-Frank Internal Reporting SEC Whistleblower Protection Policies Whistleblowers

Reversals of Fortune: Putting the Brakes on Section 10(b) and Section 11 Claims Against Auditors of China-Based Companies

A federal court’s recent dismissal of Securities Exchange Act claims against the auditor of a Chinese company prompted us to examine the state of recent U.S. civil securities litigation against accounting firms that audited...more

2/4/2015 - Accountants Audits China Dismissals Foreign Corporations Securities Securities Exchange Act Securities Litigation

There’s No Place Like Home: The Constitutionality of the SEC’s In-House Courts

Until recently, it was extremely rare for the SEC to bring enforcement actions against unregulated entities or persons in its administrative court rather than in federal court. However, as a result of the Dodd-Frank Act (and...more

10/29/2014 - Administrative Hearings Dodd-Frank Enforcement Actions Judge Rakoff SEC

The MCDC Initiative: Round One Is Underway

The clock will strike on the first self-report deadline under the SEC’s Municipalities Continuing Disclosure Cooperation Initiative (the “MCDC Initiative”) at 12:00 a.m. EST on September 10, 2014. Under the MCDC Initiative,...more

9/10/2014 - Disclosure Requirements MCDC Municipal Securities Market SEC Underwriting

On a Roll: The SEC Continues to Deliver on its Promise to Seek Admissions of Wrongdoing

The SEC announced last week that it has obtained yet another admission of wrongdoing in connection with an agreement to settle an SEC enforcement action. This time, Peter A. Jenson, the former COO of Harbinger Capital...more

8/6/2014 - Corporate Counsel Enforcement Enforcement Actions Fraud Harbinger Capital Partners LLC Neither Admit Nor Deny Settlements SEC

Money, Gold And Judges: D.C. Circuit Holds SEC’s Conflict Minerals Rule Violates The First Amendment

On April 14, 2014, a divided panel of the U.S. Court of Appeals for the District of Columbia held in National Assoc. of Mfg., et al. v. SEC that the required disclosures pursuant to the SEC’s Conflict Minerals Rule violated...more

4/23/2014 - Conflict Mineral Rules First Amendment SEC Securities Litigation

Halliburton Oral Argument: The Fraud-On-The-Market Theory Is “Basic”Ally A Sore Thumb

On March 5, the Supreme Court heard oral arguments in Halliburton v. The Erica P. John Fund. As discussed in previous blog posts, the United States Supreme Court agreed to consider Petitioner Halliburton’s argument to modify...more

3/12/2014 - Basic v Levinson DOJ Fraud-on-the-Market Halliburton v Erica P. John Fund Private Securities Litigation Reform Act of 1995 SCOTUS SEC Securities Fraud Securities Litigation

You Better Forum-Shop Around . . . While You Still Can

On January 31, 2014, Chevron Corporation moved to certify to the Delaware Supreme Court the question of whether exclusive forum bylaws are valid under Delaware law. Chevron filed its motion before the Honorable Jon S. Tigar...more

2/12/2014 - Forum Forum Selection Forum Shopping

Securities Litigation Trends In Q2 2013: What’s Up (Or Should We Say Down)?

The second quarter of 2013 saw the largest quarterly percentage decline in new securities actions since before the 2007/2008 financial crisis....more

7/31/2013 - Securities Fraud Securities Litigation

In The SDNY, Hindsight Is No Substitute For Red Flags When Alleging Scienter

On April 8, 2013, Judge Shira A. Scheindlin of the Southern District of New York granted auditor Deloitte Touche Tohmatsu CPA’s (“DTTC”) motion to dismiss a shareholder class action, finding that plaintiffs failed to...more

4/16/2013 - Auditors Class Action Material Misstatements Rule 10b-5 Scienter SEC Securities Exchange Act Securities Fraud Shareholders

SEC v. Hackers: More Cybersecurity Enforcement On The Horizon?

Cybersecurity may be the SEC’s newest area for enforcement actions. While the SEC first released Disclosure Guidance concerning cybersecurity in 2011, the recent media attention surrounding significant cybersecurity breaches...more

3/5/2013 - Class Action Cybersecurity Data Protection Disclosure Requirements SEC

Shareholder Plaintiffs Score A Class Certification Win From SCOTUS

On Wednesday, the Supreme Court issued its decision in Amgen, Inc. v. Connecticut Retirement Plans. In a 6-3 decision authored by Justice Ginsburg, the Supreme Court handed a win to plaintiffs in securities fraud class...more

3/1/2013 - Amgen Inc. v Connecticut Retirement Plans Class Action Class Certification Materiality Rule 23 SCOTUS Securities Fraud

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