Justyna Walukiewicz Lee

Justyna Walukiewicz Lee

Orrick, Herrington & Sutcliffe LLP

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Striking the Balance: Mary Jo White Says the SEC’s Process for “Well-Known Seasoned Issuer” Waivers Is Fair, But Signals a...

In a speech last Thursday, SEC Chair Mary Jo White publicly addressed the issue of whether the SEC has been too lax in granting waivers to large corporations that are subject to certain restrictions under the Well-Known...more

3/17/2015 - Accredited Investors Bad Actors Private Offerings SEC Securities Act of 1933 WKSIs

Tweet, Tweet: The SEC Gets Social

The SEC recently issued an investor alert to warn investors about potential fraudulent investment schemes involving popular social media sites such as Facebook, YouTube and Twitter, turning its eye towards investor fraud...more

11/19/2014 - Capital Formation Crowdfunding Facebook Risk Alert SEC Securities Fraud Social Media Social Networks Twitter YouTube

For Now, The Broad Interpretation of “Foreign Officials” Under the FCPA Is Here to Stay

In recent years, the DOJ and SEC have significantly increased their Foreign Corrupt Practices Act (FCPA) enforcement efforts, and in the process, have successfully advocated the theory that state-owned or state-controlled...more

10/20/2014 - Compliance DOJ Enforcement Enforcement Actions FCPA Foreign Official SEC

No “Loos” Causation From Mere Announcement Of Internal Investigation

Securities fraud actions are often filed on the heels of an announcement of an internal or SEC investigation. A recent Ninth Circuit decision, Loos v. Immersion Corp., may make it easier for company executives to sleep at...more

8/20/2014 - Government Investigations Internal Investigations Loss Causation Securities Securities Fraud

A Tale Of Two Paychecks; Ralph Lauren Makes 1,900 Times More Than You And The SEC Thinks You Should Know

On September 18, 2013, the SEC voted to propose a new rule that would require public companies to disclose the ratio of compensation of its CEO to the median compensation of its employees. The new rule, required under...more

9/23/2013 - CEOs Disclosure Requirements Dodd-Frank Pay Ratio Ralph Lauren SEC

Tell One, Tell All, The Risks Of Selective Disclosure

On September 6, 2013, the SEC charged the former head of investor relations at First Solar Inc., an Arizona-based solar company, with violating Regulation FD, which is designed to prevent issuers from selectively disclosing...more

9/13/2013 - Disclosure Policy Violations Regulation FD SEC Settlement Solar Energy

Time Is Money: Second Circuit Vacates SEC’s $38 Million Fine Against Hedge Fund Pentagon Capital Management

On August 8, 2013, the Second Circuit vacated the SEC’s $38 million fine against hedge fund Pentagon Capital Management PLC, holding that the Supreme Court’s decision in Gabelli v. SEC required the case to be remanded for...more

8/13/2013 - Capital Markets Civil Monetary Penalty Fines Hedge Funds Rule 10b-5 SEC Securities Act of 1933

The Honeymoon Is Over: Post-DOMA, Same-Sex Couples Now Spouses For Purposes Of The Securities And Exchange Act Rules

The Supreme Court in U.S. v. Windsor held that the federal Defense of Marriage Act’s (DOMA) section defining marriage as between a man and woman is unconstitutional because it violates the Fifth Amendment’s equal protection...more

8/9/2013 - DOMA Equal Protection Fifth Amendment Marriage Same-Sex Marriage SCOTUS SEC Securities Exchange Act US v Windsor

Broker-Dealers: The New Frontier For SEC Enforcement

In a split vote last week, the SEC adopted new rules designed to increase protections for customers who invest money and securities with broker-dealers....more

8/8/2013 - Broker-Dealer Dodd-Frank Enforcement Fiduciary Duty Mary Jo White PCAOB SEC SEC Commissioner

Do Trades Made Pursuant To 10b5-1 Plans Still Offer A Defense To Insider Trading?

Rule 10b5-1, enacted in August 2000, codified the SEC’s position that trading while in possession of material non-public information is sufficient to establish liability for insider trading....more

6/14/2013 - CII Insider Trading Rule 10b-5 SEC

Recent Study Finds Cybersecurity Disclosures May Fail To Meet SEC Guidelines

Hackers aren’t the only ones after company information. Earlier this week, Wills Fortune 500, a unit of Wills Group Holdings, a global insurance broker providing insurance and risk management services, made available its own...more

6/13/2013 - Cybersecurity Disclosure Requirements SEC

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