Securities

  • October 09, 2026

    BREAKING: Trump Picks Panel To Consider Claims Against Fed's Cook

    President Donald Trump has established a committee to investigate mortgage fraud allegations against Federal Reserve Gov. Lisa Cook and to determine if they provide sufficient grounds to fire her, according to a memo released Friday by the White House.

  • October 08, 2026

    Investor Says Power Tech Co. Hyped 'Sham' Data Center Deal

    The top brass at power technology manufacturer Hyliion Holdings allegedly oversold the capabilities and operations of a company Hyliion partnered with to deploy Hyliion's modular power plant technology, according to a new shareholder derivative suit in Texas federal court.

  • October 08, 2026

    Coinbase Tells 2nd Circ. Only CFTC Oversees Event Contracts

    Event contracts that Coinbase offers, including sports event contracts, are swaps over which the Commodity Futures Trading Commission has "exclusive" jurisdiction, the company has urged the Second Circuit to rule, arguing Connecticut's laws have "no role to play" in regulating prediction markets.

  • October 08, 2026

    Dodd-Frank Act Is Focus Of Latest Amici In NJ-Kalshi Case

    Multiple amici, including the drafter of the Dodd-Frank Act, weighed in on New Jersey’s petition for the U.S. Supreme Court to review the regulation of prediction markets and sports betting, saying the statute was not meant to displace state gambling laws.

  • October 08, 2026

    Judge Tosses Moderna Investor's RSV Vaccine Efficacy Suit

    A Massachusetts federal judge Thursday dismissed a shareholder's claims that Moderna lied about the effectiveness of its RSV vaccine, finding the investor did not present sufficient facts to suggest the drugmaker intended to mislead markets by citing a higher efficacy rate than the U.S. Food and Drug Administration ultimately approved. 

  • October 08, 2026

    Zoox Investors, Directors Clash Over Amazon Deal Class

    The Delaware Chancery Court on Thursday took under advisement a bid to certify a class of former Zoox Inc. common stockholders challenging Amazon.com Inc.'s $1.3 billion acquisition of the autonomous vehicle company, after hearing arguments over whether releases signed by most proposed class members prevent the case from proceeding on a classwide basis.

  • October 08, 2026

    The Rise Of White Collar Sports Cheating Scandals

    Throughout the history of professional sports, teams have tried to get an edge. When those efforts have veered into impropriety, it's usually stemmed from violations between the lines: sign-stealing, equipment tampering or spying. But that dynamic is shifting.

  • October 08, 2026

    GAO To Investigate CFTC Staffing Cuts After Warren Request

    The U.S. Government Accountability Office will investigate the impact of staffing cuts at the U.S. Commodity Futures Trading Commission, after Sen. Elizabeth Warren, D-Mass., urged the watchdog agency to probe whether the cuts impacted the CFTC's ability to fulfill its responsibilities and whether they are legally sound.

  • October 08, 2026

    Webull Sued By Investor Over Chinese Gov't Links

    Trading platform Webull Corp. on Thursday was hit with an investor lawsuit accusing it of underselling its ties to China, shortly after a U.S. House committee released a report detailing how those ties could put customer data at risk.

  • October 08, 2026

    Blue Owl Brass Sued Over BDC Liquidity Woes

    A Blue Owl Capital Inc. investor is suing the company's top brass in New York federal court, arguing that they should be forced to pay up for allegedly hiding from investors that the company's business development unit was struggling.

  • October 08, 2026

    Ameriprise Says Data Breach Suit Leans On Speculative Harm

    Ameriprise Financial Inc. on Thursday asked a Minnesota federal court to dismiss a proposed class action from consumers accusing it of failing to safeguard their data from cybercriminals in a March breach, arguing the suit's plaintiffs do not allege that their data was involved in the incident.

  • October 08, 2026

    2nd Circ. Says Filed Rate Doctrine Bars Utility Bond Claims

    The Second Circuit has declined to revive a suit alleging Bloomberg LP reclassified certain utility company bonds to hike interest rates paid by electricity customers, finding that customers cannot challenge such rates because the utilities filed the interest rates with state regulators before issuing the bonds.

  • October 08, 2026

    Nikola's Pardoned Ex-CEO Seeks To Flip Ch. 11 Claim Ruling

    The former CEO of electric-truck maker Nikola has asked the Third Circuit to review a Delaware federal judge's decision that his nearly $70 million bankruptcy claim against his former company was properly subordinated in the debtor's Chapter 11, despite a pardon from President Donald Trump.

  • October 08, 2026

    New Fraud Division Flexes Might In Latest Enforcement Policy

    The National Fraud Enforcement Division's new corporate enforcement policy emphasizes the quick pursuit of certain types of fraud through data analysis and staff resources, expands the target list beyond traditional healthcare providers and highlights the division's growing dominance within the U.S. Department of Justice, experts say.

  • October 08, 2026

    Suit Alleges Compass Sought 'Back Channel' In DOJ Review

    A shareholder is alleging in New York federal court that Compass sought to evade regulatory review of its $1.6 billion merger with Anywhere Real Estate by hiring an attorney connected to the Trump administration to push the deal through six months ahead of time.

  • October 08, 2026

    Humana Brass Face Derivative Suit Alleging Illegal Kickbacks

    A Humana Inc. shareholder is suing 12 current and former company leaders in Delaware Chancery Court, alleging they allowed the health insurer to pay more than $100 million in illegal broker kickbacks, to conceal worsening medical costs and Medicare Advantage plan quality, and to waste more than $1.5 billion buying back company stock at inflated prices.

  • October 08, 2026

    Ex-Coal Exec's Bribe Sentencing Paused Amid Witness Claims

    A Pennsylvania federal judge agreed Wednesday to reschedule an upcoming sentencing hearing for a former coal executive convicted of authorizing bribes to an arm of the Egyptian government, after his attorneys flagged new allegations against a star witness for the prosecution.

  • October 07, 2026

    Ex-Bank Chair Gets 5 Years For $23.6M Wire Fraud Scheme

    The former board chair and co-owner of the Puerto Rico-based Nodus International Bank was sentenced Wednesday to more than five years in federal prison for leading a scheme to fraudulently steal nearly $24 million from the now-collapsed bank, federal prosecutors announced.

  • October 07, 2026

    5th Circ. Ponders Stanford Scheme Receiver's $30M Fee Bid

    A Fifth Circuit judge on Wednesday questioned the rationale for restraining a portion of a receiver's fees, as the lawyer who clawed back $2.8 billion for victims of Robert Allen Stanford's multibillion-dollar Ponzi scheme argued he was entitled to $30 million.

  • October 07, 2026

    States Urge Justices To Fix Prediction Markets' Legal 'Chaos'

    A coalition of 39 states and the District of Columbia urged the U.S. Supreme Court on Wednesday to resolve a circuit split over the regulation of prediction markets like Kalshi, saying the industry's "aggressive theory of preemption" threatens states' sovereignty and ability to protect their residents. 

  • October 07, 2026

    Trump 'Outsourced' White House Press Functions, Judge Told

    Media organizations urged a New York federal judge on Wednesday to stop President Donald Trump from using Truth Social for his communications as long as the company offers paid early access to those posts, arguing that the private company's "entwinement" with the president violates the First Amendment.

  • October 07, 2026

    Feds Back High Court Review Of Robinhood Disclosure Suit

    The Trump administration urged the U.S. Supreme Court Wednesday to take up Robinhood Markets Inc.'s bid to clarify securities issuers' liability for omitting material interim financial information from registration statements, saying the Ninth Circuit erroneously imposes liability by "collapsing" two elements of a misleading-omissions violation.

  • October 07, 2026

    Latch Investors Get Final OK For Derivative Suit Settlement

    A New York federal court has given its final approval to a settlement that includes various corporate governance improvements for the home technology company Latch Inc., after shareholders sued the company's top brass for allegedly improperly recognizing revenue in financial disclosures which led to restatements and a stock price decline.

  • October 07, 2026

    SEC Says Adviser Cherry-Picked Best Trades For His Account

    The U.S. Securities and Exchange Commission accused a California investment adviser of a cherry-picking scheme that allocated profitable block trades to his personal account while assigning losing trades to his clients.

  • October 07, 2026

    ATG Hid Alliance In Chancery Proxy Fight, Del. Justices Told

    Empery Digital Inc. directors urged the Delaware Supreme Court on Wednesday to reverse a ruling requiring activist investor ATG Capital Opportunities Fund LP's board nominees to stand for election, arguing ATG failed to disclose an alleged voting arrangement with another stockholder, while ATG maintained the company is trying to impose disclosure requirements its bylaws do not contain.

Expert Analysis

  • Series

    Calif. Banking Brief: All The Notable Legal Updates In Q3

    Author Photo

    California's financial regulators spent the third quarter of 2026 focusing on consumer protection enforcement at home while resisting federal efforts to displace state oversight — reinforcing the state's intention to shape the compliance landscape for institutions operating within its borders despite federal deregulatory trends, say attorneys at Ropes & Gray.

  • How AI Is Reshaping The Structure Of Crypto Venture Deals

    Author Photo

    As founders at the intersection of crypto and artificial intelligence increasingly face capital-raising quandaries, parties structuring crypto venture deals should weigh how equity, token and hybrid financings allocate value to avoid tricky contractual governance and fiduciary law questions down the line, say attorneys at Cahill Gordon.

  • How States May Enter The Shareholder Proposal Landscape

    Author Photo

    Rescission of the U.S. Securities and Exchange Commission's shareholder proposal rule doesn't herald the end of shareholder activism, but it allows state legislatures to play a central role in determining the future of shareholder proposals, with that uncertainty creating new opportunities for both issuers and activists, say attorneys at Thompson Coburn.

  • Series

    Mentalism Makes Me A Better Lawyer

    Author Photo

    Convincing strangers I can read their minds may seem like an unusual second career for a legal practitioner, but both disciplines share several important requirements, including trust and preparation, says Warren Biro at Manatt.

  • Why And How To Build A Neurodiversity-Informed Practice

    Author Photo

    By better understanding neurodiversity and implementing simple accommodations for clients with autism, ADHD or learning differences, attorneys can build stronger relationships with those who may otherwise struggle to obtain and benefit from legal services, while developing good habits that will benefit everyone they represent, says Ting Cheung at Sanford Heisler.

  • Series

    Illinois Banking Brief: All The Notable Legal Updates In Q3

    Author Photo

    Recent banking developments in Illinois include significant new consumer protection legislation, three meaningful Seventh Circuit decisions, and a high-profile constitutional challenge to the state's new digital asset tax, say attorneys at Barnes & Thornburg.

  • How SEC Is Changing The Shareholder Proposal Landscape

    Author Photo

    The U.S. Securities and Exchange Commission continues to place its shareholder proposal rule at the center of its agenda, now with a newly proposed rule that would rescind it entirely, showcasing an agency seeking to narrow its overall focus, say attorneys at Thompson Coburn.

  • SEC's Shareholder Activism Role After The '26 Proxy Season

    Author Photo

    The U.S. Securities and Exchange Commission recently proposed eliminating its shareholder proposal rule, but this proxy season's combination of elevated campaign activity, limited formal escalation and measured voting outcomes illustrates why a targeted SEC role remains important, say attorneys at Sidley.

  • Series

    NY Banking Brief: All The Notable Legal Updates In Q3

    Author Photo

    Several developments from New York financial services regulators in the third quarter reflect a common theme — regulators are increasingly seeking to apply established supervisory expectations to newer market participants and emerging financial products, say attorneys at Blank Rome.

  • Prediction Market Case Tests Novel Insider Trading Theory

    Author Photo

    The government's argument in its case against a soldier accused of using classified information to bet on Venezuelan President Nicolás Maduro's capture would represent a sea change in how insider trading wire fraud has been prosecuted for decades, says Alex Blanchard at Holland & Knight.

  • Why Importers Should Assess IEEPA Refund Claims Now

    Author Photo

    Businesses that wait for direction from U.S. Customs and Border Protection or the courts before seeking refunds of their finally liquidated International Economic Emergency Procedure Act duties in court may find them out of reach as the earliest potential limitation deadlines are approaching, says Samuel Finkelstein at LMD Trade Law.

  • Series

    Mich. Banking Brief: All The Notable Legal Updates In Q3

    Author Photo

    We are at an inflection point for Michigan financial services law, with a state Supreme Court decision recently overruling more than 25 years of precedent on the Michigan Consumer Protection Act, and pending legislation that could significantly shift the regulatory landscape, say attorneys and advisers at Dykema.

  • How Wells Notice Ruling Signals Future Of SEC Enforcement

    Author Photo

    The U.S. Securities and Exchange Commission's recent opinion in a Financial Industry Regulatory Authority disciplinary proceeding is, on its face, a decision about the scope of FINRA's power, but it also illustrates how the SEC expects its own enforcement program to operate, say attorneys at Fridman Fels.

  • FinCEN Exemption Raises Statutory, Administrative Questions

    Author Photo

    The Financial Crimes Enforcement Network's recently rolled-out broad exemption for U.S. companies from Corporate Transparency Act reporting may face administrative law and statutory challenges, so businesses should still preserve ownership records and monitor litigation and congressional action, says David McCarville at Fennemore.

  • Opinion

    CFTC's New Award Policy Punishes Whistleblower Success

    Author Photo

    The U.S. Commodity Futures Trading Commission recently capped four whistleblower awards because it considered them too large, arguing that it could lead to frivolous reporting, but the move instead penalizes the program for its own success and flies in the face of the framework enacted by Congress, say attorneys at Whistleblower Partners.

Want to publish in Law360?


Submit an idea

Have a news tip?


Contact us here