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Goodwin

SEC Sues and Settles Claim Against Investment Adviser Representative For “Cherry-Picking Scheme” After Entry of Cease and Desist...

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​​​​​​​On September 13, 2022, the U.S. Securities and Exchange Commission (“SEC”) announced a settlement with investment advisory firm Buckman Advisory Group LLC (“Buckman Advisory”) and its CEO Harry Buckman Jr. to settle...more

Robins Kaplan LLP

Financial Daily Dose 6.5.2020 | Top Story: The U.S. Job Market Sees Surprising Gains

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The U.S. market is improving, with employers adding 2.5 million jobs. For some perspective, “[t]he economy shed 22.1 million jobs combined in March and April.” So, we have a ways to go before we’ve fully recovered. ...more

BCLP

Securities and Corporate Governance Update – July 2019

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This newsletter discusses noteworthy updates, key regulatory decisions and upcoming compliance reminders. ...more

Dorsey & Whitney LLP

The SEC’s Recent Settlement with Tesla and Elon Musk Teaches Us a Valuable Corporate Governance Lesson

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The SEC’s settlement with Tesla and Elon Musk teaches us some important corporate governance lessons on monitoring and vetting executive use of social media. As background, on August 7, 2018, the markets were surprised by...more

A&O Shearman

Tesla, Musk Settle Tweet-Related SEC Charges

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On September 27, 2018, the United States Securities and Exchange Commission (“SEC”) charged Elon Musk, the Chairman and CEO of Tesla, Inc., a publically-traded California-based technology company that specializes in electric...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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The rise of tariffs as a trade weapon has put the WTO in a very difficult position as “chief judge in an intense fight among its most powerful members”....more

Robins Kaplan LLP

Your daily dose of financial news - The Brief – 9.20.16

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The hits just keep on coming for Wells Fargo, who now is facing questions about its failure to prime the market for news of its $185 million SEC settlement earlier this month. The main concern with that tack is that Wells...more

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