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Investors › Enforcement Actions › Misrepresentation

Cozen O'Connor

Florida Investigates Proxy Advisors Over DEI and ESG Investing Policies

Cozen O'Connor on

Florida AG James Uthmeier announced an investigation into whether proxy advising companies Glass Lewis & Co. and Institutional Shareholder Services Inc. may have misrepresented their diversity, equity, and inclusion (DEI) and...more

Fenwick & West LLP

SEC Charges Biotech Co. with Misleading IPO Investors

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On September 13, the SEC charged Zymergen Inc., a biotechnology company, with misleading IPO investors about the company’s market potential and sales prospects....more

A&O Shearman

Ninth Circuit Affirms Decision Dismissing Investor Class Action Against Social Media Company Because The Company’s Statements Were...

A&O Shearman on

On March 23, 2022, Judge Kenneth K. Lee of the United States Court of Appeals for the Ninth Circuit affirmed the United States District Court for the Northern District of California’s dismissal of claims brought under...more

Goodwin

District Court Denies Payday Lender's Bid To Dismiss SEC Enforcement Action

Goodwin on

District Court Denies Payday Lender's Bid To Dismiss SEC Enforcement Action; Delaware Chancery Court Dismisses Camping World Insider Trading Derivative Suit; California Federal Judge Certifies Class Of Apple Common-Stock...more

Goodwin

SEC Settles First-Of-Its-Kind $13m DeFi Tech Action

Goodwin on

SEC Settles First-Of-Its-Kind $13m DeFi Tech Action; NASDAQ Board Diversity Rules Challenged in Fifth Circuit; Delaware Court of Chancery Declines to Enforce Contractual Limitations on Liability to Bar Contractual Fraud...more

Fenwick & West LLP

SEC and DOJ Charge Former Executives of Private Company for Misrepresenting the Company’s Technology - A Reminder that Private...

Fenwick & West LLP on

In a case reminiscent of last year’s blockbuster government actions against Theranos and its former executives, the U.S. Department of Justice and the U.S. Securities and Exchange Commission have separately charged two former...more

Jones Day

SEC Brings First Enforcement Action Related to Initial Coin Offerings

Jones Day on

The Situation: Promoters of two recent initial coin offerings face charges of investor fraud brought by the SEC, after allegedly misrepresenting the assets purportedly backing the offerings, exaggerating the amount of funds...more

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