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Misappropriation Initial Public Offering (IPO)

SECIL Law

Buyer Beware: The Tech Startup Employee Stock Scheme

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Startup company employees, many in the tech world, need to be aware of a model that financiers and insiders of (typically Delaware) business corporations use to misappropriate contributions employees have made, in the form of...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: September 1, 2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more

Oberheiden P.C.

The SEC Investigation Process: An Overview

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The U.S. Securities and Exchange Commission (SEC) investigates companies, brokerage firms, and individuals for a broad range of statutory and regulatory violations. These investigations can lead to civil or administrative...more

Robins Kaplan LLP

Financial Daily Dose 4.7.2021 | Top Story: IMF Boosts Economic Growth Projections But Warns of Uneven Post-Pandemic Recovery

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Though raising projections for overall economic growth over the next 2 years, the IMF warned this week that “an uneven rollout of vaccines” threatens to add to concerns about a “K-shaped” economic recovery on a global scale. ...more

Robins Kaplan LLP

Financial Daily Dose 8.28.2019 | Top Story: British PM to Suspend Parliament in Bid to Push Through Brexit

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Man-of-the-people PM Boris Johnson is set to as the Queen to suspend parliament for 5 weeks in an attempt to squeeze the time for opposition to the October 31st Brexit deadline, a move that’s prompting concerns about a...more

A&O Shearman

Delaware Supreme Court Affirms Dismissal Of Misappropriation Claims Against Private Equity Investor That Invested In A Competitor

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On February 7, 2019, the Delaware Supreme Court issued an order affirming the dismissal of misappropriation claims by Alarm.com Holdings, Inc. against ABS Capital Partners Inc. (and its affiliates), a private equity firm that...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The Second Circuit took center stage this week, handing down a decision which reversed the insider trading convictions of two remote tippees. The decision circumscribes tippee liability by defining the elements of a claim and...more

Dorsey & Whitney LLP

SEC Files Action Based on Misappropriation of Pre-IPO Shares

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The SEC filed a fraud action based on the misappropriation of shares of a private firm held by investors through an LLC. The shares were then resold and reissued to other investors. SEC v. Kumar, Civil Action No. 23145 (N.D....more

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