Mintz Levin - Securities Litigation & Compliance Matters

One Financial Center
Boston, MA 02111, United States

  • 617-542-6000
  • 617-542-2241

Puerto Rico Bonds: Legislation and Litigation

For municipal bond investors and insurers, recent events in Puerto Rico have become a major concern. Puerto Rico has tried to address its mounting debt crisis by enacting legislation that would create, in effect, a…more
| Bankruptcy, Commercial Law & Contracts, Constitutional Law, Finance & Banking, Insurance

Two Observations From the SEC’s First Settlement Under its Municipalities Continuing Disclosure Cooperation Initiative

Just yesterday, the SEC announced its first settlement pursuant to its Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. ... Here are two observations on this settlement that could shed some light on the…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

The Troubled Track Record of the Proxy Strike Suit

The recent wave of proxy strike litigation, once thought to be on the rise in 2012 and 2013, has now gone two years without a significant court victory. After one notable early success, decision after decision has gone against…more
| Civil Procedure, Civil Remedies, Commercial Law & Contracts, Securities Law

A Committee of Fund Manager Personnel May Not Be Able to Provide the Requisite Consent on Behalf of the Fund for a Principal Transaction

Fund managers may wish from time to time to conduct, or for their principals or affiliates to conduct, securities transactions opposite the fund. The Advisers Act prohibits such transactions – called “principal transactions” –…more
| Finance & Banking, Securities Law

A Quick Glance: The Two Central Holdings from the U.S. Supreme Court’s Decision in Halliburton

In what amounted to a 6-3 decision, the Supreme Court held in Halliburton Co. v. Erica P. John Fund, Inc., 573 U.S. ___ (2014) that the presumption of reliance based on the fraud-on-the-market theory, first articulated in Basic…more
| Civil Procedure, Business Torts, Securities Law

What Are the Regulators Thinking?

Recently the New England Chapter of the National Association of Corporate Directors presented a distinguished panel of current and former securities regulators discussing enforcement and governance issues facing boards of…more
| Commercial Law & Contracts, Finance & Banking, Business Torts, International Law & Trade, Securities Law

SEC Commissioner Aguilar Speaks on Cybersecurity Issues for the Boardroom

Last week SEC Commissioner Luis A. Aguilar gave a speech at the New York Stock Exchange on ”Boards of Directors, Corporate Governance and Cyber-Risks,” in which he strongly urged directors to focus on the need for increased…more
| Commercial Law & Contracts, Privacy, Science, Computers, & Technology, Securities Law

D&O Insurance and IPOs: Seven Issues You Need to Consider

As a company prepares for an IPO, the last thing to sometimes be considered is the potential of future litigation. Although going public can of course be a very good thing for a company, its directors, its initial investors and…more
| Commercial Law & Contracts, Finance & Banking, Insurance, Securities Law

Five Questions and Answers About the Second Circuit’s SEC v. Citigroup Decision

Last week we posted a summary of the Second Circuit’s decision in SEC v. Citigroup Global Markets, Inc. This week, as a follow-up, we pose the following five “yes or no” questions and provide responses as a way to further dive…more
| Civil Procedure, Finance & Banking, Business Torts, Securities Law

Is Your D&O Policy Ready For The Halliburton Decision?

Any day now the United States Supreme Court will announce its decision in Halliburton Co. v. Erica P. John Fund, Inc. If the Supreme Court rules to neither reject nor affirm “fraud on the market,” the importance of event studies…more
| Civil Procedure, Commercial Law & Contracts, Business Torts, Insurance, Securities Law

Second Circuit’s Citigroup Decision Protects SEC’s Discretion in Settling Enforcement Cases

Wednesday’s decision by the U.S. Court of Appeals for the Second Circuit in the Citigroup case is significant because it clarifies the standards for judicial review of consent decrees in SEC enforcement proceedings and protects…more
| Administrative Law, Civil Procedure, Civil Remedies, Finance & Banking, Securities Law

The SEC’s (New) Admissions Policy: Questions and Consequences

Nearly a year has passed since the SEC announced that it would require admissions of wrongdoing as a condition of settling SEC charges in certain cases. Perhaps it can no longer be called a “new” policy. But lawyers are still…more
| Commercial Law & Contracts, Insurance, Securities Law

Using Corporate Bylaws and Charters to Set the Rules for Shareholder Litigation

Recent court decisions, including the Delaware Supreme Court’s opinion earlier this month in ATP Tour, Inc. v. Deutscher Tennis Bund, have focused new attention on the use of corporate bylaws and charters to establish the ground…more
| Administrative Law, Business Organizations, Civil Procedure, Civil Remedies, Commercial Law & Contracts

State Blue Sky Claims Under the Uniform Securities Act Can Be Won by Sellers, But at a Cost

An emerging tool for plaintiff-side securities litigators is the use of state claims under the Uniform Securities Act, such as Massachusetts’ so-called “Blue Sky” statute, Mass. Gen. L. c. 110A, § 410…more
| Civil Procedure, Civil Remedies, Commercial Law & Contracts, Finance & Banking, Securities Law

Three Options for Institutional Investors Pursuing Claims Against Non-U.S. Issuers in the Wake of Morrison and City of Pontiac

In its 2010 Morrison decision, the Supreme Court decided that Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b) (“Section 10(b)”),only reaches “transactions in securities listed on domestic exchanges” and…more
| Civil Procedure, Finance & Banking, Business Torts, International Law & Trade, Securities Law
Showing 1-15 of 28 Results
|
View per page
Page: of 2
Areas of Practice
  • Litigation
  • Securities Law
Locations
Other U.S. Locations
  • California
  • Connecticut
  • D.C.
  • Massachusetts
  • New York
Other Countries
  • Israel
  • United Kingdom
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.