News & Insights

News & Insights

News 111 results

In the News · Source: Law.com and Law360

August 20, 2019
Alec Koch advises TherapeuticsMD on a settlement agreement with the SEC

In the News · Source: Financial Times

June 27, 2019
Aaron Lipson explains how the Lorenzo v. SEC ruling helps the SEC better protect investors

In the News · Source: Thomson Reuters Regulatory Intelligence

June 13, 2019
K&S's analysis on companies issuing digital assets to raise funds is referenced in a Thomson Reuters article on blockchain and the initial coin offerings process

In the News · Source: Anti-Corruption Report

May 15, 2019
Alec Koch discusses why Telefônica’s settlement demonstrates the dangers of lavish hospitality programs

In the News · Source: Thomson Reuters Regulatory Intelligence

May 3, 2019
Richard Margolies discusses FINRA's first self-reporting initiative―college 529-plan violations

In the News · Source: Anti-Corruption Report

April 5, 2019
Alec Koch quoted on the Ninth Circuit Court of Appeals' recent finding that whistleblowers reporting possible violations of the FCPA's bribery provisions are not protected by the Sarbanes-Oxley Act

In the News · Source: Financial Advisor IQ

March 29, 2019
Dick Walker discusses the SEC working with states that have fiduciary rule initiatives to avoid conflicts with the final version of the SEC's Regulation Best Interest

In the News · Source: Wealth Management

March 27, 2019
Dixie Johnson comments on why financial advisors should heed a recent opinion by the U.S. Supreme Court that clarified who can be held liable for fraudulent investment schemes

In the News · Source: Philadelphia Inquirer

March 9, 2019
Richard Margolies quoted on FINRA demanding brokers who sell 529 plans to self-report any excess fees they are charging by April 30 or face unspecified consequences

In the News · Source: Pittsburgh Post-Gazette

March 7, 2019
Michael Watling discusses FINRA setting a deadline for investment advising firms to come clean with any recommendations they have made to customers with 529 plans

In the News · Source: RIABiz

March 1, 2019
Michael Watling and Richard Margolies discussed FINRA’s recently published member priorities list for 2019

In the News · Source: Hedge Fund Law Report

March 1, 2019
Aaron Lipson discussed his work and his arrival at the firm