Securities Electronic Discovery

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This Week In Securities Litigation

The Commission resolved its actions against the PRC based affiliates of five major accounting firms for failure to produce audit work papers. The settlement contains a series of procedures designed to facilitate production in...more

China Auditor Update: SEC and Chinese Audit Firms "Settle" for the Status Quo

In an Order of Settlement released February 6, 2015, the SEC agreed to stay the administrative action against the Chinese affiliates of the “Big Four” accounting firms for refusing to turn over their audit work papers...more

SEC – PRC Based Audit Firms Reach A Settlement

The SEC and the PRC based affiliates of five major accounting firms entered into a settlement of proceedings initiated over the failure to produce audit work papers for issuers with substantial operations in China. The...more

FINRA Panel Precludes Evidence & Awards Punitives as Discovery Sanction

An all-public panel of FINRA arbitrators entered a preclusion order and awarded $750,000 in punitive damages for Respondents’ failure to participate in discovery and disregard of pre-hearing filing requirements....more

Delaware Court of Chancery Confirms: There Is No Such Thing as Delaware Local Counsel

In its recent ruling on James v. National Financial LLC, Delaware's prestigious Court of Chancery reiterated the obligations to the Court of both Delaware and out-of-state counsels' obligations to the Court (Delaware...more

FINRA Issues Guidance Notice on Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process

In Regulatory Notice 14-40, FINRA reminds members that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to incorporate into a settlement agreement a confidentiality provision...more

Corporate and Financial Weekly Digest - Volume IX, Issue 45

In this issue: - Proxy Advisory Firms Release Policy Updates for 2015 - CBOE Makes Enhancements to Its Market-Maker Trade Notification System - OTC Derivatives Regulators Group Issues Report to G20...more

Successful Motions to Dismiss Securities Class Actions, A Review of What Worked in 2014

Motions to dismiss have been called “the main event” in securities class actions. They are filed in over 90% of securities class actions and they result in dismissal close to 50% of the time they are filed. In contrast, out...more

CFTC Proposes Amendments to Recordkeeping Rules

Proposed changes would provide permanent relief from compliance with certain recordkeeping requirements and narrow the types of records that must be identifiable by transaction. The December 2012 amendments to...more

The Proper Purpose Of Discovery In Derivative Suits

A plaintiff holding less than 2000 shares files a derivative suit against a corporation’s current or former directors and officers. The trial court finds the complaint to be internally inconsistent and that regulatory...more

Delaware Supreme Court Permits Stockholders to Overcome Corporation’s Attorney-Client Privilege for “Good Cause”

On July 23, 2014, the Delaware Supreme Court in Wal-Mart Stores, Inc. v. Indiana Elec. Workers Pension Trust Fund IBEW held that plaintiff stockholders, who make a showing of good cause, can inspect documents concerning a...more

Business Litigation Alert: "Did They Really Say That?"

E-Mails Continue to Be the Modern "Smoking Gun" - The recent financial-collapse and bankruptcy of former mega-law firm Dewey & LeBoeuf has captivated the attention of the legal industry, but are there lessons to be...more

The Alberta Securities Commission Imposes Important New Obligations for Recipients of Production Demands

The Alberta Securities Commission (ASC) has always had the power to compel Registrants, Reporting Issuers, and others to produce records in the course of an investigation. Section 93.4 of the Securities Act (Alberta) has also...more

BYOD (Bring Your Own Device)... *Liability and Data Breach Sold Separately PPT Presentation

A majority of people recently surveyed believe that their cellphone is the first thing that gets noticed about them. With smartphones becoming a part of our identity and the convenience of carrying and using just one device,...more

BYOD (Bring Your Own Device)... *Liability and Data Breach Sold Separately  [Video]

A majority of people recently surveyed believe that their cellphone is the first thing that gets noticed about them. With smartphones becoming a part of our identity and the convenience of carrying and using just one device,...more

Ralph Ferrara Discusses Private Securities Litigation at PLI [Video]

Ralph Ferrara speaking at the Practising Law Institute’s 45th Annual Securities Regulation Institute. Ralph is part of a panel addressing the topic of Private Securities Litigation, including: * Key considerations in...more

Weekly eDiscovery Top Story Digest - August 21, 2013

Compiled by @ComplexD from online public domain resources, provided for your review/use is this week’s update of key industry news, views, and events highlighting key electronic discovery related stories, developments, and...more

Weekly eDiscovery Top Story Digest - July 24, 2013

Compiled by @ComplexD from online public domain resources, provided for your review/use is this week’s update of key industry news, views, and events highlighting key electronic discovery related stories, developments, and...more

Weekly eDiscovery Top Story Digest - July 4, 2013

Compiled by @ComplexD from online public domain resources, provided for your review/use is this week’s update of key industry news, views, and events highlighting key electronic discovery related stories, developments, and...more

FINRA Revises Definition of Public Arbitrator and Proposes Changes to Discovery Guide Concerning Electronic Documents

The Financial Industry Regulatory Authority (FINRA), which provides the arbitration forum for resolving disputes between securities firms and customers, recently announced changes to the arbitrator selection process and...more

Unfiltered Orange | Weekly eDiscovery News Update – February 13, 2013

Recognized nationally in Forbes’ Law and Technology Blog as a leading source of trusted eDiscovery information, Orange Legal Technologies’ Unfiltered Orange newsletter is published weekly to provide legal and technology...more

Business Litigation Report -- January 2013

In This Issue: Shifting the Growing Costs of E-Discovery; Quinn Emanuel Continues the Expansion of International Arbitration Practice with the Addition of Stephen Jagusch; Aesthetic Functionality and the Use of “Color...more

Unfiltered Orange | Weekly eDiscovery News Update – February 6, 2013

Recognized nationally in Forbes’ Law and Technology Blog as a leading source of trusted eDiscovery information, Orange Legal Technologies’ Unfiltered Orange newsletter is published weekly to provide legal and technology...more

Unfiltered Orange | Weekly eDiscovery News Update – January 30, 2013

Recognized nationally in Forbes’ Law and Technology Blog as a leading source of trusted eDiscovery information, Orange Legal Technologies’ Unfiltered Orange newsletter is published weekly to provide legal and technology...more

Corporate and Financial Weekly Digest - March 30, 2012

In this issue; - CFTC Approves Final Rule on Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management - Third Circuit Court of Appeals Limits Electronic Discovery Costs...more

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