Securities

  • October 07, 2025

    DC Circ. Denies Biotech Co.'s Nasdaq Delisting Appeal

    Chinese biotech Shineco Inc. has lost its bid to block its delisting from the Nasdaq in the D.C. Circuit, which didn't buy its argument the federal government's shutdown prevented the company from petitioning the U.S. Securities and Exchange Commission directly for relief.

  • October 07, 2025

    3rd Circ. Won't Rehear J&J Investor Cert. Appeal

    The U.S. Court of Appeals for the Third Circuit declined Tuesday to reconsider backing a New Jersey federal judge's class certification order in a Johnson & Johnson investor action alleging the company artificially inflated its stock price by failing to disclose cancer risks.

  • October 07, 2025

    Feds Seek 6 Years For Ex-Frank Exec's 'Brazen' $175M Con

    Prosecutors asked a New York federal judge Monday to sentence a former executive at financial aid startup Frank to six years in prison for helping its founder Charlie Javice trick JPMorgan Chase & Co. into buying the company for $175 million, saying he deserves no leniency for the "brazen" fraud.

  • October 07, 2025

    NYSE Parent Invests $2B In Polymarket Amid Market Scrutiny

    The parent company of the New York Stock Exchange said Tuesday that it will infuse up to $2 billion into Polymarket, which has an $8 billion valuation, at a time when prediction markets in the United States are increasing in popularity but facing increased scrutiny.

  • October 07, 2025

    Arnold & Porter Finance Leader Joins Seyfarth With 2 Peers

    Seyfarth Shaw LLP announced Tuesday that it has hired the former chair of Arnold & Porter Kaye Scholer LLP's structured finance and derivatives practice to co-lead its structured finance team, as well as two of his colleagues.

  • October 07, 2025

    SEC's Atkins Wants To 'Future-Proof' Deregulatory Agenda

    U.S. Securities and Exchange Commission Chairman Paul Atkins said Tuesday that he hopes that moving quickly to adopt new rules deregulating the public and private markets will "future-proof" his agenda against potential tampering by succeeding presidential administrations.

  • October 07, 2025

    NASCAR Wins Fight With LGBCoin Over Racing Deal Approval

    A Miami jury returned a defense verdict late Monday in favor of NASCAR in a $76 million suit by the LetsGoBrandon.com Foundation accusing the league of destroying the value of its cryptocurrency LGBCoin after it revoked approval of sponsorship of a racing team.

  • October 06, 2025

    OCC To Ease Exams, Simplify Licensing For Smaller Banks

    The Office of the Comptroller of the Currency moved Monday to ease its oversight of banks with under $30 billion in assets, rolling out policy changes that include cutting back on their exam requirements and potentially expanding their access to expedited licensing options.

  • October 06, 2025

    FINRA Fines Ga. Broker-Dealer After Reps Forged Signatures

    The broker-dealer unit of Synovus Financial Corp. will pay $315,000 to settle Financial Industry Regulatory Authority claims that a records review oversight prevented the firm from spotting an emerging "pattern of forging and falsifying customer electronic signatures" at one of its branches.

  • October 06, 2025

    2nd Circ. Revives Investors' Green Infrastructure Co. Suit

    The Second Circuit on Monday revived a proposed class action against defunct green infrastructure firm Abengoa SA, ruling that details from Spanish criminal proceedings against the firm could be used to claim that the company had defrauded its U.S.-based investors.

  • October 06, 2025

    Judge Voids $150M Worth Of Notes In Auto Mogul's Dispute

    A Michigan federal judge found a businessman altered promissory notes worth $150 million to thwart efforts to collect on a separate judgment against him and his auto parts business, but he ruled the notes are unenforceable because they were issued when the company was insolvent.

  • October 06, 2025

    Scooters Aren't Securities, Court Told In Bid To Toss SEC Suit

    A scooter rental company urged a Florida federal court to dismiss a U.S. Securities and Exchange Commission lawsuit alleging it misled hundreds of investors to raise $4 million, saying the goods it offered aren't regulated by the agency. 

  • October 06, 2025

    Ex-UBS Reps Can't Solicit Bank Clients Amid Arbitration

    UBS Financial Services has secured a preliminary injunction blocking former UBS advisers from soliciting the firm's account holders while arbitration accusing the representatives of violating nonsolicitation and confidentiality agreements proceeds, a decision the defendants say is the result of a mutual agreement between the parties.

  • October 06, 2025

    Clark Hill Expands Transactions Practice In Denver

    Clark Hill PLC on Monday added six attorneys formerly of Burns Figa & Will to its Denver office in a move aimed at expanding the international firm's securities and corporate transactions practice in Colorado.

  • October 06, 2025

    Morgan Stanley Race Bias Suit In NY Closed After Settlement

    A decade-old suit accusing Morgan Stanley of discriminating against its African American financial advisers and depriving them of lucrative opportunities has come to a close after the final plaintiff reached a settlement with the financial institution.

  • October 06, 2025

    Jurisdiction Miss Sinks Novel Crypto Suit Claim In Chancery

    In a first-of-its-kind decision, Delaware's Court of Chancery on Monday upheld state court "In rem" physical jurisdiction over $3.7 million worth of cryptocurrency held by a Delaware limited liability company after it was allegedly pilfered from an online casino in the Dutch Caribbean island nation of Curacao.

  • October 06, 2025

    SentinelOne Beats Investors' Revenue Revision Claims

    Cybersecurity company SentinelOne Inc. has shed a proposed investor class action alleging that it hurt investors after it disclosed accounting issues that led to a $27 million downward revision of its 2023 recurring revenue, with a judge finding that there was "not enough" in the suit supporting an inference that the company misled the markets on purpose.

  • October 06, 2025

    Suit Aims To 'Claw Back' Kalshi's Ga. Predictions Proceeds

    Kalshi Inc. and Robinhood are among a slew of defendants who have been sued in Georgia over allegations that the companies' so-called prediction markets are sidestepping the Peach State's ban on gambling, adding to a growing roster of litigation stemming from the companies' business practices.

  • October 06, 2025

    Coinbase Seeks OCC Charter To Expand Custody Business

    Crypto exchange Coinbase is seeking a national trust company charter from the Office of the Comptroller of the Currency to expand its custody business and related services, joining a growing number of digital asset firms pursuing federal bank charters.

  • October 06, 2025

    2 Firms To Lead Humana Investor Suit Over Post-COVID Costs

    Glancy Prongay & Murray LLP and The Rosen Law Firm will co-lead consolidated shareholder derivative claims against healthcare giant Humana Inc. alleging its brass made the company downplay the "pent-up demand" that pushed up patient utilization rates on the heels of the COVID-19 pandemic.

  • October 06, 2025

    Bernstein, Robbins Geller Vie For Top Co-Counsel In Deal Row

    Bernstein Litowitz Berger & Grossmann LLP and Robbins Geller Rudman & Dowd LLP are vying to be co-lead counsel in a Delaware Chancery Court class action over the $14.30-per-share, $8.9 billion buyout of a healthcare management company, arguing its clients have a stronger case than others.

  • October 06, 2025

    Catching Up With Delaware's Chancery Court

    Last week, the owner of the Kentucky Derby was hit with a suit accusing it of withholding escrow funds for environmental compliance violations owed under a 2022 deal with hospitality company Enchantment Holdings LLC.

  • October 06, 2025

    Grassley Probes Judges' Possible AI Use In Faulty Rulings

    Sen. Chuck Grassley, R-Iowa, chair of the Senate Judiciary Committee, pressed two federal judges on Monday about their possible use of artificial intelligence in court orders that contained a multitude of errors.

  • October 06, 2025

    Health Data Co. Accused Of Post-Deal Doc Deletions

    A post-acquisition representative for Caravan Health Inc. shareholders has asked Delaware's Court of Chancery to approve a forensic examination of records held by acquirer Signify Inc. after Signify was said to have acknowledged post-closing erasures of some Caravan employee records.

  • October 06, 2025

    Orrick Adds 37-Lawyer CLO Team From Cadwalader

    Orrick Herrington & Sutcliffe LLP announced Monday that it has opened a new office in Charlotte, North Carolina, and added a 37-lawyer collateralized loan obligations and asset-backed lending team from Cadwalader Wickersham & Taft, part of a larger exodus of Cadwalader attorneys tracked by Law360 Pulse. 

Expert Analysis

  • Series

    Playing Mah-Jongg Makes Me A Better Mediator

    Author Photo

    Mah-jongg rewards patience, pattern recognition, adaptability and keen observation, all skills that are invaluable to my role as a mediator, and to all mediating parties, says Marina Corodemus.

  • Business Court Bill Furthers Texas' Pro-Corporate Strategy

    Author Photo

    The Texas Legislature's recent bill to enhance corporate protections and expand access to the Texas Business Court by refining its jurisdictional standards is just the latest step in the state's playbook for becoming the new center of corporate America, say attorneys at Katten.

  • Series

    Law School's Missed Lessons: Navigating Client Trauma

    Author Photo

    Law schools don't train students to handle repeated exposure to clients' traumatic experiences, but for litigators practicing in areas like civil rights and personal injury, success depends on the ability to view cases clinically and to recognize when you may need to seek help, says Katie Bennett at Robins Kaplan.

  • What To Expect As UK, US Gov'ts Develop Stablecoin Policies

    Author Photo

    While the U.K. and U.S. governments’ policies both suggest that fiat-backed stablecoins can improve efficiency and safety in payments systems, a perception that crypto-assets remain high risk means consumers are unlikely to use them in significant volume anytime soon, say lawyers at Cadwalader.

  • Yacht Broker Case Highlights Industry Groups' Antitrust Risk

    Author Photo

    The Eleventh Circuit recently revived class claims against the International Yacht Brokers Association, signaling that commission-driven industries beyond real estate are vulnerable to antitrust challenges after the National Association of Realtors settled similar allegations last year, says Miles Santiago at the Southern University Law Center and Alex Hebert at Southern Compass.

  • Opinion

    4 Former Justices Would Likely Frown On Litigation Funding

    Author Photo

    As courts increasingly confront cases involving hidden litigation finance contracts, the jurisprudence of four former U.S. Supreme Court justices establishes a constitutional framework that risks erosion by undisclosed financial interests, says Roland Eisenhuth at the American Property Casualty Insurance Association.

  • Quantifying Trading-Based Damages Using Price Impact

    Author Photo

    The U.S. Securities and Exchange Commission will likely increasingly rely on price impact analyses to demonstrate pecuniary harm from trading-related misconduct, meaning measuring price impact will be helpful in challenging SEC disgorgement, determining appropriate remedies, and assessing loss causation and damages in private litigation, says Vyacheslav Fos at Boston College and Erin Smith at Compass Lexecon.

  • Congress Crypto Movement Could Bring CFTC 'Clarity' At Last

    Author Photo

    The Clarity Act's arrival at the House floor during "Crypto Week" in Congress demonstrates enduring bipartisan support for legislation addressing digital assets and the Commodity Futures Trading Commission's important role in a future regulatory structure, say attorneys at DLA Piper.

  • Practical Implications Of SEC's New Crypto Staking Guidance

    Author Photo

    The U.S. Securities and Exchange Commission's recent staff guidance that protocol staking does not constitute securities offerings provides a workable compliance blueprint for crypto developers, validators and custodial platforms willing to keep staking strictly limited to protocol-driven rewards, say attorneys at Cahill.

  • Stablecoin Bills Present Opportunities, Challenges For Banks

    Author Photo

    Stablecoin legislation that Congress is expected to adopt in the coming weeks — the GENIUS and STABLE Acts — would create openings for banks to engage in digital asset activities, but it also creates a platform for certain tech-savvy nonbanks to directly compete, say attorneys at Arnold & Porter.

  • How Attys Can Use AI To Surface Narratives In E-Discovery

    Author Photo

    E-discovery has reached a turning point where document review is no longer just about procedural tasks like identifying relevance and redacting privilege — rather, generative artificial intelligence tools now allow attorneys to draw connections, extract meaning and tell a coherent story, says Rose Jones at Hilgers Graben.

  • New FCPA Guidance May Flip The Whistleblowing Script

    Author Photo

    The U.S. Department of Justice’s updated Foreign Corrupt Practices Act guidelines lay out a new incentive structure that may put multinational U.S.-based companies in an unusual offensive whistleblowing position, potentially spurring them to conduct external investigations of their foreign rivals, says Markus Funk at Perkins Coie.

  • Opinion

    GENIUS Act Could Muck Up Insolvency Proceedings

    Author Photo

    While some of the so-called GENIUS Act's insolvency provisions are straightforward, others run the risk of jeopardizing the success of stablecoin issuers' insolvency proceedings and warrant another look from Congress, say attorneys at Morgan Lewis.

  • A Look At Florida's New Protected Series LLC Legislation

    Author Photo

    A new law in Florida enhances the flexibility of using limited liability companies as the entities of choice for most privately held businesses, moving Florida into a small group of states with reliable uniform protected series legislation for series LLCs, says Louis Conti at Holland & Knight.

  • Capital One Deal Approval Lights Up Path For Bank M&A

    Author Photo

    The federal banking regulators' recent approval of Capital One's acquisition of Discover signals the agencies' willingness to approve large transactions and a more favorable environment generally for bank mergers under the Trump administration, say attorneys at Arnold & Porter.

Want to publish in Law360?


Submit an idea

Have a news tip?


Contact us here
Can't find the article you're looking for? Click here to search the Securities archive.