Orrick - Securities Litigation and Regulatory Enforcement Group

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The Orrick Building
405 Howard Street
San Francisco, CA 94105-2669, United States
Contact: Michael Torpey, Practice Leader
Phone: 415-773-5700
Fax: 415-773-5972
Areas of Practice
  • Class Action
  • Finance & Banking
  • Litigation
  • Mergers & Acquisitions
  • Securities Law
  • Taxation
Locations
Other U.S. Locations
  • California
  • D.C.
  • New York
  • Washington
Other Countries
  • China
  • France
  • Germany
  • Hong Kong
  • Italy
  • Japan
  • Russia
  • Taiwan
  • United Kingdom
Number of Attorneys
50-100 Attorneys

Report Shows 2016 Record-Setting Year for Class Action and SEC Settlements

Last week, proxy advisory firm Institutional Shareholders Services (“ISS”) published its semi-annual report of the top 100 U.S. securities class action settlements and top 50 SEC settlements of all time, as of December 31, 2016…more
 /  Civil Procedure, Commercial Law & Contracts, Finance & Banking, Securities Law

Dodd-Frank Re-Write—the House of Representatives Edition

The House has approved major changes to signature aspects of Dodd-Frank. While those changes are unlikely to survive intact, they are certainly worthy of close attention. We’ve studied the nearly 600-page bill so you don’t have…more
 /  Commercial Law & Contracts, Consumer Protection, Elections & Politics, Finance & Banking, Securities Law

Supreme Court Unanimously Limits the SEC’s Ability to Seek Disgorgement

This week, the United State Supreme Court finally resolved a circuit split and unanimously held that SEC actions seeking to disgorge ill-gotten gains are subject to a five-year statute of limitations on civil fines, penalties or…more
 /  Administrative Law, Civil Remedies, Commercial Law & Contracts, Securities Law

Government Leaks Lead to Landmark Insider Trading Case

On May 24, 2017, the SEC for the first time brought charges based on allegations of insider trading on confidential government information. The alleged insider trading scheme involved tips related to three announcements by the…more
 /  Commercial Law & Contracts, Criminal Law, Finance & Banking, Health, Securities Law

The Potential Declawing of the SEC: The Financial CHOICE Act

The Financial CHOICE Act (or “CHOICE Act 2.0”), which would significantly narrow the SEC’s ability to bring enforcement actions and make it more challenging for it to prevail in such actions, is inching its way towards becoming…more
 /  Commercial Law & Contracts, Elections & Politics, Finance & Banking, Securities Law

From Greyball to Snowball: Uber’s Latest Travails, and How Multiple Investigations of Misconduct May Imperil the Attorney-Client Privilege

It emerged on May 5 that the Department of Justice opened an investigation into Uber’s use of software called “Greyball” that concealed the ride-sharing company’s operations from regulators in cities and countries that did not…more
 /  Commercial Law & Contracts, Communications & Media Law, Securities Law

What to Watch for From the New SEC Chairman

Last Thursday, Jay Clayton was officially sworn in as the new Chairman of the Securities and Exchange Commission. As the new Chairman takes office, here are a few things we’re keeping an eye on..…more
 /  Administrative Law, Commercial Law & Contracts, Finance & Banking, Labor & Employment Law, Securities Law

Congress May Significantly Increase SEC Civil Penalties Up To $10 Million Per Violation

On March 30, 2017, a bipartisan group of Senators introduced a bill called “Stronger Enforcement of Civil Penalties Act of 2017” (the “SEC Penalties Act”) to “crack down on Wall Street fraud” that would significantly increase…more
 /  Commercial Law & Contracts, Finance & Banking, Securities Law

2016 Could Be Peak SEC

2016 was a high-water mark for SEC enforcement activity; however, with the uncertainties associated with the new administration’s enforcement regime, we could be seeing a downturn going forward. According to a recent report…more
 /  Administrative Law, Commercial Law & Contracts, Finance & Banking, Securities Law

Changing the Game, Again: Supreme Court Could Limit SEC’s Authority to Seek Disgorgement

This week, the Supreme Court heard argument regarding whether the SEC’s actions to disgorge ill-gotten gains are subject to a five-year statute of limitations for “any civil fine, penalty, or forfeiture.”…more
 /  Civil Procedure, Civil Remedies, Commercial Law & Contracts, Finance & Banking, Securities Law

Understanding the New DOJ Compliance Guidance: Part Three – Policies & Procedures

This is the third in a series of posts where we will explore critical elements of a successful compliance program. In February, the Department of Justice’s Fraud Section offered a new perspective on what the government expects…more
 /  Commercial Law & Contracts, International Law & Trade, Securities Law

Understanding the New DOJ Compliance Guidance: Part 2 – Autonomy, Resources, and Staffing

This is the second in a series of posts where we will explore critical elements of a successful compliance program. In February, the Department of Justice’s Fraud Section offered a new perspective on what the government expects…more
 /  Commercial Law & Contracts, Securities Law

Hold the Phone: SEC Takes One Last Stand Before the Tenth Circuit regarding the Constitutionality of the SEC’s Administrative Law Judges

Last week, the United States Securities and Exchange Commission filed a petition for rehearing en banc with the Tenth Circuit Court of Appeals, imploring the court to reconsider a divided panel’s ruling on the…more
 /  Administrative Law, Civil Procedure, Commercial Law & Contracts, Constitutional Law, Securities Law

Understanding the New DOJ Guidance: Part 1 – Tone at the Top

In February, the Department of Justice’s Fraud Section offered a new perspective on what the government expects in a compliance program in the form of a series of questions that companies should be prepared to answer about their…more
 /  Commercial Law & Contracts, International Law & Trade

Circuit Split on Whistleblower Protections Widens

On March 8, 2017, a divided panel of the Ninth Circuit issued an opinion in Somers v. Digital Realty Trust Inc. that further widened a circuit split on the issue of whether the anti-retaliation provisions in the Dodd-Frank Wall…more
 /  Civil Rights, Commercial Law & Contracts, Labor & Employment Law, Securities Law
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