Dorsey & Whitney LLP

Quirky Question #261, When will our employee return?

Question: We’re a large company with offices in many locations, including in California, Minnesota, Washington and New York City. We often have disabled employees provide doctors’ notes that say they are unable to work,…more
| Civil Procedure, Civil Rights, Labor & Employment Law

EU Securities – Proposed Settlement System to Facilitate London Listings of US Companies

Historically, due to certain restrictions under US securities laws, equity securities of US companies and other companies that do not qualify as “foreign private issuers” under US securities laws (collectively, “US-Based…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Guidance for Incident Response Plans  

Organizations are preparing for data incidents and breaches by developing, updating, implementing, and testing incident response plans. This article provides a checklist of key components of an incident response…more
| Commercial Law & Contracts, Consumer Protection, Privacy, Science, Computers, & Technology

SEC Approves Proposals to Modernize and Enhance Reporting Regime for Registered Funds and Investment Advisers

Yesterday, the Securities and Exchange Commission (“SEC”) unanimously approved two recommendations by the SEC’s Division of Investment Management to modernize and enhance the reporting regime for registered investment funds and…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

Crowdfunding: A New Way for Montana Companies to Raise Money

A new exemption passed in the Montana 2015 legislative session will allow Montana companies to use crowdfunding to offer and sell securities in Montana beginning July 1, 2015. This exemption is subject to various limitations and…more
| Business Organizations, Commercial Law & Contracts, Communications & Media Law, Finance & Banking, Securities Law

No Investor Harm, No Ill-gotten Gains But SEC Fines Insurer $8 Million

Last week the Commission resolved a proceeding involving a life insurance company centered on the pricing of its variable annuity and variable life insurance products. Specifically, the Order alleged violations of Rule 22c-1…more
| Administrative Law, Commercial Law & Contracts, Insurance, Securities Law

Ninth Circuit Reinforces that Arbitration Agreements Will be Enforced

Ashbey was employed from December 1996 until November 2010, when he was discharged. He started with Archstone as a service technician and was promoted to regional service manager. In 2009, Ashbey signed a document titled,…more
| Alternative Dispute Resolution (ADR), Civil Procedure, Civil Rights, Commercial Law & Contracts, Labor & Employment Law

Is the SEC a Toothless Watch Dog?

SEC enforcement actions are supposed to halt violations, protect investors and the markets, act as a deterrent and prevent a future repetition of wrongful conduct. To facilitate those goals settlements typically incorporate…more
| Administrative Law, Commercial Law & Contracts, Finance & Banking, Real Estate - Residential, Securities Law

SEC Settles Another Market Crisis Financial Fraud Action

The Commission resolved another financial fraud action stemming from the aftermath of the market crisis. This proceeding, initially brought in June 2014, named as a Respondent Thomas Neely, Jr., and E.V. P. of Regions Bank. In…more
| Administrative Law, Commercial Law & Contracts, Finance & Banking, Securities Law

Quirky Question #260, Data breach incident response plans

Question: For data breach preparation, what guidance have federal and state regulators issued regarding incident response plans? Originally published on IRMI.com…more
| Commercial Law & Contracts, Labor & Employment Law, Privacy, Consumer Protection, Science, Computers, & Technology

This Week In Securities Litigation

The Commission filed and insider trading case in tandem with the Manhattan U.S. Attorney’s Office against a father and son based on repeated trades in advance of deal announcements even after FINRA initiated an investigation…more
| Criminal Law, Finance & Banking, Business Torts, International Law & Trade, Securities Law

Investment Professional Charged with Fraud, Self-Dealing by SEC

The SEC charged another investment professional with fraud and self-dealing. SEC v. Ahmed, Civil Action No. 3:15-cv-00675 (D. Conn. Filed May 5, 2015). Defendant Iftikar Ahmed is an investment professional who was a partner at…more
| Administrative Law, Criminal Law, Finance & Banking, Business Torts, Securities Law

SEC Files Fraud Action Centered on Student Loans

Student loans, and the debt burdening many students at graduation, is an important political topic. It is not generally a subject for the Securities and Exchange Commission. Nevertheless, at the center of is most recent…more
| Administrative Law, Education, Finance & Banking, Business Torts, Securities Law

SEC Files Offering Fraud Action Against Radio Show Hosts

The SEC filed another offering fraud action, a staple of Enforcement. This action centers on two recidivist radio talk show hosts selling interest in life settlements based on enhancements of their investment credentials,…more
| Communications & Media Law, Business Torts, Securities Law

Guidance for Incident Response Plans

Organizations are preparing for data incidents and breaches by developing, updating, implementing, and testing incident response plans. This article provides a checklist of key components of an incident response…more
| Commercial Law & Contracts, Consumer Protection, Privacy, Science, Computers, & Technology
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Contact

50 South Sixth Street Suite 1500
Minneapolis, MN 55402-1498, United States

  • (612) 340-2600
  • (612) 340-2868

Areas of Practice
  • Alternative Dispute Resolution (ADR)
  • Antitrust & Trade Regulation
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Locations
Other U.S. Locations
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Other Countries
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Number of Attorneys

100+ Attorneys

This profile may constitute attorney advertising. Prior results do not guarantee a similar outcome. Any correspondence with this profile holder does not constitute a client/attorney relationship. Neither the content on this profile nor transmissions between you and the profile holder through this profile are intended to provide legal or other advice or to create an attorney-client relationship.

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