Erica Jones

Proskauer Rose LLP

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Latest Posts › Securities Fraud

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Three Key Considerations for Fund Sponsors when Participating in Bankruptcy Proceedings

We anticipate a more assertive regulatory enforcement program under the Biden administration, particularly focused on fund managers’ conflicts of interest, advisers’ codes of ethics, and related policies and procedures...more

7/7/2021 / Biden Administration , Breach of Duty , Compliance , Conflicts of Interest , Department of Justice (DOJ) , Fiduciary Duty , Fund Managers , Material Nonpublic Information , Securities and Exchange Commission (SEC) , Securities Fraud

Decision Diagnostics Saga Continues as Investors Bring Suit

In December, the SEC filed a complaint against Decision Diagnostics and its CEO, Keith Berman, for falsely claiming the company had developed a finger prick blood test that could instantaneously detect COVID-19. As stated in...more

3/30/2021 / Coronavirus/COVID-19 , Fraud , Misappropriation , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Fraud , Securities Litigation

The “ABC’s” of ESG

In 2020, trillions of dollars flooded ESG funds, and many analysts are expecting this trend to continue in 2021. BlackRock, the largest asset manager in the world, plans to have $1.2 trillion in ESG assets in the next 10...more

2/8/2021 / Business Strategies , Corporate Governance , Corporate Social Responsibility , Environmental Social & Governance (ESG) , Publicly-Traded Companies , Securities Fraud

COVID-19 Misrepresentations: Blood Is Thicker Than Water

Thanks to HBO’s documentary, “The Inventor: Out for Blood in Silicon Valley,” and a barrage of media coverage about Elizabeth Holmes and her defunct company, Theranos, it is unmistakable that big misrepresentations can lie in...more

2/2/2021 / Coronavirus/COVID-19 , Misleading Statements , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Fraud , Securities Litigation

Pandemic for Profit? – SEC Enforcement Patrols Press Releases

In times of crisis, fraudsters attempt to exploit the latest news developments to lure investors into scams, and the once-in-a-century global health crisis we are currently facing is no exception. On February 4, 2020, the SEC...more

7/7/2020 / Coronavirus/COVID-19 , Corporate Governance , Disclosure Requirements , Infectious Diseases , Public Private Partnerships (P3s) , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Securities Fraud , Securities Regulation

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