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Securities

March 17, 2026
SIFMA, Other Orgs Weigh In On SEC's 'Small Entity' Proposal

The Securities Industry and Financial Markets Association is urging the U.S. Securities and Exchange Commission to increase its oversight of investment advisers should it move forward with a plan to categorize more mutual funds and advisers as small entities, saying the current playing field disadvantages broker-dealers.
March 17, 2026
Gartner Investor Says Co. Made Misleading Growth Claims

Insights company Gartner Inc. was hit with a proposed class action on Tuesday accusing it of failing to disclose that tariff headwinds and other macroeconomic factors would prevent it from growing its contract value.
March 17, 2026
OFAC Fines Broker $1.1M Over Apparent Sanctions Violations

The U.S. Department of the Treasury's Office of Foreign Assets Control on Tuesday announced that Florida brokerage TradeStation Securities Inc. has agreed to pay more than $1.1 million to settle potential civil liability for violating the regulator's sanctions programs for Iran, Syria and Crimea.
March 17, 2026
BlackRock Must Face Ex-VP's Whistleblower Retaliation Suit

BlackRock Inc. must face a suit in New York state court by a former vice president who alleges he faced retaliation and wrongful termination after raising concerns about self-dealing, corruption and conflicts of interest, with a state judge partially rejecting the asset manager's bid to dismiss the case.
March 17, 2026
Amici Chide Trump Admin For Calling Anthropic A Security Risk

In separate amicus briefs to the D.C. Circuit, the ACLU, tech industry groups, former government officials and moral theologians variously panned the Trump administration's designation of Anthropic PBC as a supply chain risk to national security as unjustified, unlawful and counterproductive.
March 17, 2026
Grocery Chain Faces Investor Suit Over Shuttered Stores

Investors of Grocery Outlet Holding Corp. filed suit against the discount supermarket company in California federal court, alleging the company and its executives failed to disclose that its rapid financial growth was caused by expanding too quickly, which came to light earlier this year when it announced that 36 of its stores would close, sending its share price lower.
March 17, 2026
EY Beats Brooge Petroleum, SPAC Merger Fraud Suit

A New York federal judge Tuesday tossed a suit against EY's Middle East affiliates that claimed they botched audits of United Arab Emirates-based Brooge Petroleum before its merger with a blank check company to enable a fraudulent scheme against investors, finding that the suit's claims are time-barred or inadequately pled.
March 17, 2026
Biden Admin's Definition Of ERISA Fiduciary Erased

A Texas federal judge on Tuesday vacated regulations from the U.S. Department of Labor that would have expanded the definition of an investment advice fiduciary under federal benefits law, changes that a collective of insurance groups said the federal agency didn't have the authority to make.
March 17, 2026
Kalshi Hit With First Criminal Betting Charges In Arizona

Arizona has laid criminal gambling charges against prediction market platform Kalshi, becoming the first state to do so among a slew of others pressuring the company to disallow users from betting on sporting events.
March 17, 2026
BlackRock, State Street Want GOP States' ESG Suit Pared

BlackRock and State Street have asked a Texas federal judge to significantly winnow antitrust claims from Republican state attorneys general accusing the asset managers of driving up coal prices, arguing that claims based on electricity buyers are too far removed from coal.
March 17, 2026
House Panel Advances Bill Aimed At Curbing ERISA Litigation

A GOP-led panel in the U.S. House of Representatives on Tuesday advanced legislation that would raise the pleading standards for proposed class action federal benefits lawsuits and delay the start of discovery in those disputes, with Democrats on the committee voting to oppose the legislation.
March 17, 2026
'No Disrespect' But Law Prof Mom Not SBF's Atty, Judge Says

A federal judge in Manhattan cautioned retired Stanford Law School professor Barbara Fried, the mother of convicted FTX founder Sam Bankman-Fried, that she cannot make filings on behalf of her son in his bid for a new trial, saying she has not filed an appearance with the court.
March 17, 2026
Mich. AG Says Robinhood Gets Notice Until Injunction Sorted

A federal judge signed off Monday on an agreement between Michigan Attorney General Dana Nessel and Robinhood Derivatives LLC, stating that the attorney general's office must give 48 hours' notice if it plans to take enforcement action against the securities trading company for sports betting.
March 17, 2026
Prediction Markets Have Opened Compliance 'Pandora's Box'

The burgeoning prediction market has exploded the definition of what qualifies as confidential corporate information that employees could misuse for personal gain, leaving companies scrambling to update internal policies and guidelines, compliance experts say.
March 17, 2026
Mich. Judge Denies SEC Win On Crowdfund Fraud, Urges Deal

A Michigan federal judge Tuesday shot down the U.S. Securities and Exchange Commission's bid for summary judgment against a man the agency accused of orchestrating a $2 million cannabis crowdfunding fraud, finding the case might be better suited for settlement talks.
March 17, 2026
BlockFills Can Tap Into Lender Cash For Now In Ch. 11

Bankrupt cryptocurrency company BlockFills received interim authority to use the cash collateral of its secured lenders Tuesday as it began its pursuit of a customer-led restructuring in Delaware bankruptcy court.
March 17, 2026
South Korea Scores Win In Schindler Investment Treaty Case

South Korea has prevailed in an international arbitration by Swiss elevator maker Schindler Holding AG over its investment in Hyundai Elevator Co. Ltd., a dispute centered on claims that regulators failed to prevent the dilution of Schindler's stake, South Korea's Justice Ministry said.
March 17, 2026
Skechers Controllers Accused Of Unfair $9.4B 3G Buyout

A Detroit pension fund is challenging the $9.4 billion take-private sale of Skechers U.S.A. Inc. to 3G Capital in Delaware Chancery Court, alleging the footwear company's controlling stockholders engineered an unfair deal that favored themselves at the expense of minority investors.
March 17, 2026
Zoox Stockholders Push For Amazon Ex-Exec's Texts, Emails

A pair of Zoox Inc. stockholders have asked the Delaware Chancery Court to force Amazon.com Inc. to provide additional documents in litigation challenging its $1.3 billion acquisition of the self-driving vehicle startup, arguing that a former Amazon executive's communications could shed light on particulars of the allegedly conflict-tainted deal.
March 16, 2026
Boeing Investors Secure Class Cert. In 737 Max Fraud Suit

An Illinois federal judge on Monday granted class certification to investors who allege Boeing harmed them by misrepresenting the safety of its 737 Max aircraft, finding that the investors established a common method for measuring damages that could apply class-wide.
March 16, 2026
EB-5 Investors Land Class Cert. In TD Bank Escrow Suit

A Manhattan federal judge has certified a class of EB-5 immigrant investors who claim TD Bank improperly released nearly $50 million of their funds from escrow, which allegedly caused the money to go missing and scuttled their efforts to seek visas.
March 16, 2026
Don't 'Grimace, Nod, Laugh': Judge Breyer Slams Musk's Attys

U.S. District Judge Charles Breyer scolded Elon Musk's Quinn Emanuel counsel during a hearing Monday ahead of closing arguments in California litigation alleging that Musk tanked Twitter's stock to get out of his $44 billion acquisition deal, saying he wouldn't "sit here and watch lawyers grimace, nod, laugh in court."
March 16, 2026
Apparel Co., Crypto Backer Drop SEC Suit Over 'Airdrops'

An apparel company and its cryptocurrency industry group backer preemptively suing the U.S. Securities and Exchange Commission have dropped their case over digital asset transactions being securities, saying the SEC's recent policy pivot "suggest[s] a change in the commission's position regarding free airdrops."
March 16, 2026
Alight, Former Execs Accused Of Misleading Growth Claims

Employee benefits solutions company Alight Inc. and its former executives were hit with a proposed class action Monday accusing them of making misleading claims about the company's ability to meet its financial forecast and issue a dividend.
March 16, 2026
Stellantis Escapes Vehicle Inventory 'Channel Stuffing' Suit

Automaker Stellantis and former executives beat a proposed securities class action accusing them of so-called channel-stuffing, after a New York federal judge found none of the suit's alleged misstatements were material, and the investors failed to plead the executives had a motive to defraud or knowingly committed the alleged wrongdoings.

Expert Analysis

3 Securities Litigation Trends To Watch In 2026

Pending federal appellate cases suggest that 2026 will be a significant year for securities litigation, with long-standing debates about class certification, new questions about the risks and value of artificial intelligence features, and private plaintiffs' growing role in cryptocurrency enforcement likely to be major themes, say attorneys at Willkie.
4 Developments That Defined The 2025 Ethics Landscape

The legal profession spent 2025 at the edge of its ethical comfort zone as courts, firms and regulators confronted how fast-moving technologies and new business models collide with long-standing professional duties, signaling that the profession is entering a period of sustained disruption that will continue into 2026, says Hilary Gerzhoy at HWG Law.
Navigating AI In The Legal Industry

As artificial intelligence becomes an increasingly integral part of legal practice, Law360 guest commentary this year examined evolving ethical obligations, how the plaintiffs bar is using AI to level the playing field against corporate defense teams, and the attendant risks of adoption.
Regulatory Rollback And Lingering Limbo: The CFPB In 2025

The Consumer Financial Protection Bureau has implemented significant changes since President Donald Trump took office in January, including dismissing actions with prejudice, withdrawing guidance and rescinding rules, casting the bureau in uncertain light heading into 2026, say attorneys at Mayer Brown.
2025 Calif. Banking Oversight Centered On Consumer Issues

The combination of statutory reform, registration mandates and enforcement activity in 2025 signals that California's financial regulatory landscape is focused on consumer protection, particularly in the areas of crypto kiosk fee practices, earned wage access providers and elder fraud, say attorneys at Ropes & Gray.
The Major Securities Litigation Rulings And Trends Of 2025

The past 12 months saw increased regulator focus on disclosures concerning artificial intelligence, signs of growing judicial scrutiny at the class certification stage, and shifting regulatory priorities at the U.S. Securities and Exchange Commission — all major developments that may significantly affect securities litigation strategy in 2026 and beyond, say attorneys at Debevoise.
The CFTC's Road Ahead Under Newly Confirmed Chair

Michael Selig's Dec. 18 confirmation as U.S. Commodity Futures Trading Commission chair comes at a critical juncture, as the agency is poised to gain oversight over the crypto industry and increase its jurisdictional mandate covering prediction markets, says Elizabeth Lan Davis at Davis Wright.
How Fractional GCs Can Manage Risks Of Engagement

As more organizations eliminate their in-house legal departments in favor of outsourcing legal work, fractional general counsel roles offer practitioners an engaging and flexible way to practice at a high level, but they can also present legal, ethical and operational risks that must be proactively managed, say attorneys at Boies Schiller.
SEC Rulemaking Radar: A Reset, A Shift And A Preview Of '26

With major proposals withdrawn and new priorities emerging, forthcoming U.S. Securities and Exchange Commission proposals in 2026 will look to reshape how digital assets are regulated, recalibrate market structure and simplify how small companies go public, says Christopher Grobbel at Goodwin.
Changes In Crypto, Cybersecurity Defined NY Banking In 2025

The major takeaways from 2025 in New York banking policy involve updated guidance, regulations and requirements primarily affecting innovation and digital banking, in areas such as cybersecurity, virtual currencies, and buy now, pay later programs, say attorneys at Steptoe.
Del. Dispatch: Key 2025 Corporate Cases And Trends To Know

The Delaware corporate legal landscape saw notable changes in 2025, spurred by amendments to the Delaware General Corporation Law, ubiquitous artificial intelligence fervor, boardroom discussion around DExit, record shareholder activism activity and an arguably more expansive view of potential Caremark liability, say attorneys at Fried Frank.
Series

Nature Photography Makes Me A Better Lawyer

Nature photography reminds me to focus on what is in front of me and to slow down to achieve success, and, in embracing the value of viewing situations through different lenses, offers skills transferable to the practice of law, says Brian Willett at Saul Ewing.
2025 Brought A New Paradigm For Federal Banking Regulation

A series of thematic shifts defined banking regulation in 2025, including a fundamental reform of prudential supervision, a strategic easing of capital constraints, steps to streamline merger reviews, and a new framework for fair access and entrants seeking to offer banking services, say attorneys at Simpson Thacher.
Series

Law School's Missed Lessons: Practical Problem Solving

Issue-spotting skills are well honed in law school, but practicing attorneys must also identify clients’ problems and true goals, and then be able to provide solutions, says Mary Kate Hogan at Quarles & Brady.
Crypto In 2025: From Federal Deregulation To State Action

The cryptocurrency enforcement landscape evolved in 2025, marked by federal deregulatory trends and active state attorney general enforcement, creating both opportunity and risk for businesses navigating the digital asset market, say attorneys at Cozen O'Connor.