Latham & Watkins partners William Baker, Alexander Cohen, Joel Trotter and Lawrence West hosted a webcast “Securities and Exchange Commission: Critical Issues Facing Public Companies.” Topics discussed included the increasing...more
US public companies and SEC regulated entities should re-examine their forms and policies.
On April 1, 2015, the US Securities and Exchange Commission filed its first whistleblower protection case involving...more
Investment adviser and its owner settle SEC enforcement action for nearly US$2.2 million.
On June 16, 2014, the US Securities and Exchange Commission issued a cease and desist order and assessed a US$300,000 civil...more
Lawyers blowing the whistle on issuer clients might be “rewarded” with state bar investigations for possible breaches of their duty of confidentiality.
Every issuer of securities is a repository...more
$14 million awarded to unidentified whistleblower in unidentified enforcement action.
On October 1, 2013, the US Securities and Exchange Commission announced that it expects to pay more than $14 million to a...more