Curtailing Civil RICO: The Rise and Fall of Securities Fraud Claims Under the PSLRA — RICO Report Podcast
10 For 10: Top Compliance Stories For the Week Ending September 27, 2025
Daily Compliance News: September 26, 2025, The Quantum Trading Edition
10 For 10: Top Compliance Stories For the Week Ending May 24, 2025
Jones Day Talks®: Corporate Fraud Investigations in 2025: Lessons, Trends, and Need-to-Knows
The SEC's Reach Beyond Publicly Traded Companies
2 Gurus Talk Compliance: Episode 47 – The Chaos Edition
The Justice Insiders Podcast: Jarkesy’s Implications for the Administrative State
Turning up the Heat – A Look at the FTC’s Groundbreaking Fine Against Bankrupt Digital Asset Services Provider Celsius Network LLC - The Crypto Exchange Podcast
Blue Sky Laws: Defending State-Level Securities Violations
The Justice Insiders: The Administrative State is Not Your Friend - A Conversation with Professor Richard Epstein
Four Decision Points in SEC Securities Investigations
Business and Legal Issues Around Blockchain and Cryptocurrencies
The "Compass Rose" Method for Corporate Witness Interviews
Podcast: Credit Funds: Compliance Considerations for Valuation
Life Sciences Quarterly (Q3 2019): SEC Enforcement and Class Actions Regarding FDA Communications
Insider Trading News - Ralph Siciliano discusses US v. Newman
SEC Whistleblower Program: What Employers Need to Know
On January 8, 2026, FINRA issued Regulatory Notice 26-02 announcing proposals for a new rule and revisions to two existing rules. FINRA seeks to revise Rule 4512’s provisions regarding trusted contact persons, to increase...more
Aerospace and Defense Contractor Resolves False Claims Act Allegations for $1.5 Million - On January 5, the US Department of Justice (DOJ) announced that Teledyne RISI Inc., also known as Teledyne Electronic Safety Products,...more
This Blog has written about Ponzi schemes on numerous occasions. A Ponzi scheme is a type of investment fraud where returns to earlier investors are paid using investment capital from new or existing investors, rather than...more
When Paul Atkins became the new chairman of the Securities and Exchange Commission (SEC) in April 2025, the market expected enforcement actions against public companies to decrease....more
The U.S. Supreme Court may soon weigh in on one of the most consequential—and unsettled—questions in recent SEC enforcement jurisprudence: whether the Commission may seek disgorgement without proving that investors suffered...more
On November 26, 2025, the United States Court of Appeals for the Eleventh Circuit reinstated a putative class action asserting claims under the Securities Exchange Act of 1934 against an electric utility company, its parent...more
On November 20, 2025, Judge Edward J. Davila of the United States District Court for the Northern District of California dismissed with prejudice a putative securities class action against a social media platform (the...more
The U.S. Securities and Exchange Commission’s closely watched lawsuit against software maker SolarWinds (“SolarWinds” or the “Company”) and its cybersecurity chief, Tim Brown, ended with a whimper last month when the...more
On December 2, 2025, the U.S. District Court for the Southern District of New York approved a settlement between the U.S. Securities and Exchange Commission (SEC) and a broker-dealer for policy and procedure violations and a...more
This year has seen a record percentage of whistleblower claim denials by the U.S. Securities and Exchange Commission. This rising trend of award denials is a departure from the SEC’s previous track record and may reflect a...more
Key Takeaways - The SEC’s agreement with defendants to dismiss, with prejudice, its case against SolarWinds Corporation (SolarWinds) and its chief information security officer (CISO) signals a retreat from aggressive,...more
While timely and accurate disclosure of material cybersecurity events remains paramount, the SEC's retreat from its aggressive SolarWinds case may signal a recalibrated enforcement approach in these cases. On November 20,...more
Notable litigation filed in October 2024 includes: (1) Jolley v. WCM Global Wealth, LLC, et al., No. 2024CP2306268 (S.C. Com. Pl.); (2) Vazquez, et al., v. Inventis Ventures Holding, Inc., et al., No. 2024-01436108 (Cal....more
On November 20, 2025, the Securities and Exchange Commission (SEC) dismissed its landmark enforcement action against SolarWinds Corp. and the company’s Chief Information Security Officer, Tim Brown. In 2023, the SEC’s...more
To plead securities fraud, a plaintiff must allege that the defendant made a false statement or omitted a material fact, did so with scienter, and that the plaintiff relied on that misrepresentation and suffered injury....more
Last week, the SEC agreed to voluntarily dismiss its high-profile case against SolarWinds Corporation (“SolarWinds” or the “Company”) and its Chief Information Security Officer (“CISO”), which has been pending for over two...more
On November 19, 2025, Judge John H. Chun of the United States District Court for the Western District of Washington pared the allegations in a putative class action asserting claims under the Securities Exchange Act of 1934...more
Aerospace startups often begin with a dream to provide cheaper, better, or faster solutions for aviation and space flight, and the ambition to make that dream a reality. Although optimism fuels innovation, as aerospace...more
Securities Snapshot highlights notable developments in securities law, covering litigation and enforcement matters, legislation, and regulatory guidance. It is curated by lawyers in Goodwin’s Securities Litigation & SEC...more
On October 16, the North American Securities Administrators Association (NASAA) published the enforcement priorities for state securities regulators. Key highlights of the 2025 NASAA Enforcement Report are the following...more
On November 7, 2025, Judge John G. Koeltl of the United States District Court for the Southern District of New York denied a motion for leave to amend a putative securities class action complaint asserting claims against a...more
In July 2023, one of the year’s most anticipated movies, the Barbie movie, premiered in theaters, achieving more than USD1 billion in global ticket sales. One potentially overlooked detail in the movie was the character Ruth,...more
The split among federal circuit courts on when the Securities and Exchange Commission (SEC) can obtain disgorgement as a remedy in civil enforcement cases has prompted a man recently convicted of engaging in a "pump and dump"...more
On November 4, 2025, Jay Clayton, the U.S. Attorney for the Southern District of New York, unsealed the indictment of Bradley Heppner, founder of Beneficient Company Group LP, a financial services startup, who has been...more
Jury Finds Global Health Care Company Novo Nordisk Not Liable in Whistleblower’s FCA Suit - A federal jury in Washington state found Novo Nordisk not liable for violations of the False Claims Act (FCA), Anti-Kickback...more