Securities Snapshot

Attorneys in Goodwin’s Securities + Shareholder Litigation and White Collar Defense practices have extensive experience before federal and state courts, legislative bodies, and regulatory and enforcement agencies. We continually monitor notable developments in these venues to prepare the Securities Snapshot — a bi-weekly compilation of securities litigation news delivered to subscribers’ via email. This publication summarizes news from the civil and criminal securities law arenas in a succinct, easy-to-read format. Topics covered include litigation and enforcement matters, legislation, rulemaking, and interpretive guidance from regulatory agencies.

January 29, 2019

Northern District of California denies SEC’s attempt to obtain disgorgement from relief defendant; ex-Georgeson LLC advisor convicted in a tix-for-votes scheme; RICO suit over the use of robo-advisors dismissed for failure to adequately allege a criminal enterprise; government adequately pleads “tippee” liability under recent Second Circuit precedent.

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