Publications

Searched Practice: Securities/Derivatives Litigation & Enforcement

"CFTC Issues Final Interpretive Guidance and Policy Statement and Exemptive Order Regarding Cross-Border Application of Dodd-Frank Swap Provisions," Covington E-Alert (8/5/2013)
Julian Hammar Co-Author

"Dodd-Frank Anti-Retaliation Provisions: Fifth Circuit Narrows Scope, Rejects SEC and District Court Interpretations," Covington Advisory (7/29/2013)
Tammy Albarrán Co-Author, Steven Fagell Co-Author, Haywood Gilliam Co-Author, Barbara Hoffman Co-Author, Nancy Kestenbaum Co-Author, David Martin Co-Author, Christopher Yeung Co-Author

"D.C. District Court Vacates SEC's Resource Extraction Payment Rule," Covington Advisory (7/3/2013)
Tammy Albarrán Co-Author, Bruce Bennett Co-Author, David Engvall Co-Author, Keir Gumbs Co-Author, David Martin Co-Author, Ciarra Chavarria Co-Author

"Successful Board Investigations," The Corporate Board (May/June 2013)
David Bayless Co-Author, Tammy Albarrán Co-Author

"Ralph Lauren: Inadequate Rewards For Exemplary Cooperation," Law360 (5/1/2013)
Tammy Albarrán Co-Author, Jessica Chan Co-Author, David Kornblau Co-Author, Haywood Gilliam Co-Author

"The Ralph Lauren Case: Inadequate Rewards for Exemplary Corporate Cooperation," Covington E-Alert (4/26/2013)
Tammy Albarrán Co-Author, Bruce Baird Co-Author, David Bayless Co-Author, Eric Carlson Co-Author, Jessica Chan Co-Author, Steven Fagell Co-Author, Haywood Gilliam Co-Author, Donald Ridings Co-Author

"SEC Endorses Social Media as Public Disclosure Channel," Covington E-Alert (4/3/2013)
David Engvall Co-Author, Keir Gumbs Co-Author, David Martin Co-Author, Matthew Franker Co-Author

"The Changing Composition Of SEC Enforcement Actions," Law360 (2/21/2013)
Tammy Albarrán Co-Author, David Bayless Co-Author

"Regulate the U.S. Markets Like the Nuclear Industry," Bloomberg View (11/25/2012)
David Kornblau Author

"Securities Fraud Element Relaxed for SEC," San Francisco Daily Journal (9/20/2012)
David Bayless Co-Author

"SEC Issues First Whistleblower Program Award," Covington E-Alert (8/22/2012)
Steven Fagell Co-Author, Barbara Hoffman Co-Author, Nancy Kestenbaum Co-Author, David Kornblau Co-Author, David Martin Co-Author

"SEC Steps Up Enforcement Effort in the Municipal Bond Market," Covington E-Alert (8/1/2012)
Tammy Albarrán Co-Author, David Bayless Co-Author

"Dodd-Frank Anti-Retaliation Provisions: Three Federal Courts Weigh In: Significant Uncertainties for FCPA-Based Claims," Covington Advisory (7/12/2012)
Tammy Albarrán Co-Author, Steven Fagell Co-Author, Haywood Gilliam Co-Author, Barbara Hoffman Co-Author, Nancy Kestenbaum Co-Author

"The JOBS Act: New Rules for Emerging Growth Companies, Private Placements and "Crowdfunding"," Covington Advisory (4/2/2012)
Bruce Bennett Co-Author, Warren Caywood Co-Author, Keir Gumbs Co-Author, Frederick Knecht Co-Author, David Martin Co-Author, Kristian Wiggert Co-Author

"STOCK Act Spotlights Trading on Government Information," Covington E-Alert (3/28/2012)
Keir Gumbs Co-Author, David Kornblau Co-Author, David Martin Co-Author, Robert Kelner Co-Author, Kerry Burke Co-Author, Erik Durbin Co-Author

"Market Manipulation and Algorithmic Trading: The Next Wave of Regulatory Enforcement?," Bloomberg BNA Securities Regulation& Law Report (2/20/2012)
David Kornblau Co-Author, Jonathan Sperling Co-Author

"SEC Guidance on Disclosure Related To Cybersecurity," Covington Advisory (10/17/2011)
David Fagan Co-Author, Stephen Satterfield Co-Author, David Martin Co-Author, Keir Gumbs Co-Author

"District Courts Split on SEC End-Run Around Supreme Court Janus Decision," Covington E-Alert (9/27/2011)
Tammy Albarrán Co-Author, David Bayless Co-Author, David Kornblau Co-Author

"Shareholder Access Litigation and Beyond," Covington Advisory (8/3/2011)
David Martin Co-Author, Keir Gumbs Co-Author

"Supreme Court Decision in Janus Litigation," Covington E-Alert (6/14/2011)
Mark Gimbel Co-Author, David Kornblau Co-Author, David Martin Co-Author, C. William Phillips Co-Author

"Supreme Court Decision in Matrixx Litigation," Covington E-Alert (3/23/2011)
C. William Phillips Co-Author

"Recent Developments in the Law of Insider Trading and Material Nonpublic Information," Securities Industry and Financial Markets (SIFMA) Law & Compliance Society (3/7/2011)
David Kornblau Author

"Securities Roundtable," California Lawyer (February 2011)
Tammy Albarrán

"Dodd-Frank Act: SEC Proposes Whistleblower Rules," Covington Advisory (11/8/2010)
David Engvall Co-Author, Steven Fagell Co-Author, Barbara Hoffman Co-Author, Nancy Kestenbaum Co-Author, David Martin Co-Author, John Rupp Co-Author

"Dodd-Frank Beefs Up SEC Enforcement," The Recorder (9/27/2010)
David Bayless Author

"Securities Roundtable," California Lawyer (September 2010)
Tammy Albarrán

"Dodd-Frank Act: Enhanced Protection for Whistleblowers Against Employer Retaliation," Covington Advisory (7/29/2010)
Nancy Kestenbaum Co-Author, Barbara Hoffman Co-Author, David Martin Co-Author

"New Financial Reform Bill Includes Two Provisions Aimed at Curbing Corruption," Covington E-Alert (7/21/2010)
Stephen Anthony Co-Author, Eric Carlson Co-Author, Christopher Denig Co-Author, Donald Ridings Co-Author, John Rupp Co-Author, Henriette Tielemans Co-Author

"SEC Trial Loss Sends Agency Back to the Drawing Board on Prosecuting Insider Trading In CDS," Covington E-Alert (7/1/2010)
David Kornblau Co-Author

"Court Reins in SEC’s Expansive 'Primary Liability' Theory," Washington Legal Foundation (6/18/2010)
Tammy Albarrán Author

"Financial Regulatory Reform Legislation - Investor Protection Enhancements," Covington E-Alert (5/27/2010)
David Martin Co-Author

"Second Circuit Limits Federal Securities Fraud Liability of Investment Banks, Accountants, and Lawyers," Covington E-Alert (4/29/2010)
Bruce Baird Co-Author, David Bayless Co-Author, David Kornblau Co-Author, C. William Phillips Co-Author

"Securities Litigation Roundtable," California Lawyer (February 2010)
Haywood Gilliam

"Keeping Current: Securities," Business Law Today (January/February 2010)
David Bayless Co-Author, Tammy Albarrán Co-Author

"SEC Announces Significant Changes To Enforcement Division," Covington E-Alert (8/7/2009)
David Kornblau Co-Author

"Federal Court Rejects Securities Fraud Claims Based on Understated Loss Reserves," Covington E-Alert (2/3/2009)
Andrew Ruffino Co-Author, Michael Schlanger Co-Author

"Recent SEC Enforcement Actions Against In-House Lawyers: An Ominous Trend for the Legal Profession," Securities Litigation & Regulation Reporter (July 2007)
David Bayless Co-Author, Tammy Albarrán Co-Author

"Tellabs, Inc. v. Makor Issues & Rights, Ltd.: A Uniform Test for Pleading Scienter in Securities Fraud Cases," Covington Advisory (6/29/2007)
David Bayless Co-Author, David Martin Co-Author, C. William Phillips Co-Author

"A Reasoned Approach to Sanctions Under the Securities Act of 1933," Washington Legal Foundation (April 2007)
Tammy Albarrán Co-Author

"Tellabs, Inc. v. Makor Issues & Rights, Ltd.: What Does It Take to Allege a “Strong Inference” of Scienter?," Covington E-Alert (3/26/2007)
C. William Phillips Co-Author

"The Next Big Scandal? Stock Option Practices Under Scrutiny," Covington Advisory (5/26/2006)
Nancy Kestenbaum Co-Author, W. Andrew Jack Co-Author, Bruce Baird Co-Author

"In re Worldcom, Inc. Securities Litigation: Due Diligence for Underwriters and Directors," Covington Report (3/7/2005)
Bruce Bennett Author