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- Feed Preview Corporate Defense and Disputes
Court Upholds SEC’s Victory in “Shadow Trading” Case
A federal court in California refused to grant a judgment or a new trial to a defendant who was found to have engaged in insider trading when he purchased securities of one company based on mater...
https://www.corporatedefensedisputes.com/2024/09/court-upholds-secs-victory-in-shadow-trading-case/
Missouri Court Enjoins Missouri’s Anti-ESG Rules for Financial Advisers
A federal district court in Missouri recently enjoined Missouri Securities Division rules that require financial firms and professionals to obtain clients’ signatures on state-prescribed docume...
Supreme Court Bars SEC Administrative Proceedings for Civil Penalties
The U.S. Supreme Court held that the Seventh Amendment to the U.S. Constitution entitles a defendant to a jury trial when the Securities and Exchange Commission seeks to impose civil penalties fo...
Eleventh Circuit Invalidates Contest Providing Venture-Capital Funding for Black Women
The U.S. Court of Appeals for the Eleventh Circuit held that a contest providing venture-capital funding only to Black female applicants is substantially likely to violate section 1981 of the Ci...
Ohio Federal Court Holds White Litigant Lacked Standing to Challenge Contest Providing Funding for Black-Owned Businesses
A federal District Court in Ohio recently ruled that a white litigant did not have standing to assert a discrimination claim against a contest that had provided grants to Black-owned businesses....
Supreme Court Holds That Securities Fraud Statute Does Not Proscribe Pure Omissions
The U.S. Supreme Court recently held that the anti-fraud provision of the Securities Exchange Act does not prohibit “pure omissions,” but only false statements or misleading half-truths. Th...
SEC Wins Insider Trading Suit Alleging “Shadow Trading”
A federal jury in California agreed with the SEC that a corporate official engaged in insider trading when he purchased securities of a company based on material nonpublic information (“MNPI”...
Eleventh Circuit Affirms Injunction Against Florida Statute Concerning Mandatory Diversity Training
The U.S. Court of Appeals for the Eleventh Circuit affirmed an injunction against enforcement of portions of Florida’s “anti-woke” law, which prohibits employers from requiring employees to...
Fifth Circuit Orders En Banc Rehearing of Rejected Challenge to Nasdaq’s Board-Diversity Rules
Well – this took four months. The U.S. Court of Appeals for the Fifth Circuit ordered en banc rehearing of an unsuccessful challenge to the Securities and Exchange Commission’s approval of th...
Missouri Court Denies Dismissal of SIFMA Challenge to Missouri’s Anti-ESG Rules for Financial Advisers
A federal district court in Missouri recently denied a motion to dismiss the Securities Industry and Financial Markets Association’s (“SIFMA’s”) challenge to Missouri Securities Division ...
Delaware Chancery Court Holds that High Standard for Oversight Liability Applies to Corporate Officers
The Delaware Court of Chancery recently held that claims for breach of the fiduciary duty of oversight are not easier to plead against corporate officers than against corporate directors. The dec...