Securities

  • October 23, 2026

    Investor Says 'Failing' Real Estate PE Firm Hid Fund Losses

    An investor alleged in Texas federal court that a real estate private equity firm and its leaders hid the firm's failures from investors and tricked them into supporting "an overleveraged, failing enterprise."

  • October 23, 2026

    Insurer Can't Exit Captive Carrier Fight, NC Justices Rule

    The North Carolina Supreme Court on Friday backed a state Business Court decision denying a Georgia insurance company's bid to dismiss third-party claims brought against it in a shareholder dispute over the demise of a defunct captive insurer.

  • October 23, 2026

    Conn. Investment Adviser Admits To $3.3M Brokerage Fraud

    A Connecticut investment adviser and broker-dealer faces up to 20 years in federal prison after admitting to causing $3.3 million in losses to three financial services companies by using fraudulent bank transfers to fund fruitless options trading.

  • October 23, 2026

    SEC To Check Firms' Preparedness For AI Cyberattacks

    The U.S. Securities and Exchange Commission said Friday that it plans to scrutinize financial firms' use of artificial intelligence in order to ensure that the companies are guarded against cybersecurity attacks.

  • October 22, 2026

    Domino's Must Face Investor Suit Over Overseas Growth

    A Michigan federal judge Thursday refused to throw out a proposed securities class action against Domino's Pizza Inc., finding that the investor plaintiff has adequately alleged that the pizza chain knew a major franchisee would underperform when the company made positive, forward-looking statements to shareholders.

  • October 22, 2026

    Investors Say AST Hid Failures, Made $277M In Insider Sales

    AST SpaceMobile has been hit with a lawsuit accusing the satellite designer and manufacturer of misleading shareholders about the company's prospects amid mounting competition from Starlink, resulting in a drop in the stock's value.

  • October 22, 2026

    NextEra Investors Try Again On $150M Deal After 1st Denial

    NextEra investors are again looking for approval of their $150 million settlement to their lawsuit accusing NextEra of political interference after a Florida federal judge rejected their initial attempt over supposed deficiencies, providing the court with more detail on how the deal was calculated and benefits to class members.

  • October 22, 2026

    Skechers Accused Of Using Tariffs To Shortchange Investors

    Skechers USA Inc. is facing a lawsuit in California federal court accusing it of overstating the impact that tariffs would have on its business in order to defraud investors into agreeing to a $9.4 billion take-private transaction.

  • October 22, 2026

    Broad Street CEO Says Investors Agreed To Illiquidity Risk

    Broad Street Global Management LLC CEO David Feingold defended the private equity firm's actions Thursday, telling a Florida federal judge that agreements with investors in the $1 billion fund make clear that there was no guarantee of liquidity in their investments.

  • October 22, 2026

    9F, Investors Reach $6.5M Deal To End IPO Fraud Claims

    Investors of Chinese fintech 9F Inc. have reached a $6.5 million deal with the online lending platform to resolve claims that the company hid its financial woes and failed to disclose an "illegal arrangement" that investors said it had with an insurance carrier.

  • October 22, 2026

    PE Giants In Talks With NFL As Nscale Gets Heat Over IPO

    Blackstone and Apollo are in talks with the NFL about potential investment in teams, Nscale is working on a potential $45 billion deal to provide Anthropic with compute power as the data center developer faces questions over its lofty IPO valuation, and private equity-backed financial technology company IntraFi could be up for sale valued at more than $10 billion. 

  • October 22, 2026

    Treasury Proposes Barring Big Investors From Buying Homes

    The U.S. Department of the Treasury has proposed a rule that would bar large institutional investors from buying single-family homes, absent specific exceptions, saying that the proposal aims to "make homeownership more affordable for hardworking Americans."

  • October 22, 2026

    JPMorgan, Ex-Frank Execs Clash Over $2.1M In Legal Fees

    JPMorgan Chase & Co. faced renewed demands in the Delaware Chancery Court on Thursday to pay about $2.1 million in withheld legal fees for convicted Frank founder Charlie Javice and former executive Olivier Amar, as their lawyers accused the bank of using repeated billing objections to delay funding for their criminal defenses.

  • October 22, 2026

    2 Firms To Lead Roblox Age-Verification Investor Action

    A California federal judge has appointed Johnson Van Kwawegen LLP and Grant & Eisenhofer PA as co-lead counsel of a consolidated proposed class action filed by investors who allege they lost $48 million to a stock drop driven by Roblox Corp.'s age verification system.

  • October 21, 2026

    Coinbase Defeats Investor Suit Over Regulatory Disclosures

    A Pennsylvania federal judge on Wednesday threw out an investor's proposed class action accusing Coinbase of not being up front with shareholders about its regulatory compliance, ruling that the company's statements about its anti-money laundering measures weren't false or misleading.

  • October 21, 2026

    SEC Nabs Ruling Against Man Behind Hotel Investment Fraud

    A California federal judge granted the U.S. Securities and Exchange Commission a summary judgment win Wednesday in the commission's suit accusing a Los Angeles businessman of running two securities fraud schemes involving investments in U.S.-based hotels, saying it was clear the co-founder made material false statements to investors.

  • October 21, 2026

    Fla. Judge Mulls Tossing Stock Fraud Indictment Over Delay

    A Florida federal judge on Wednesday declined to rule on whether to toss an indictment against a man accused of stock fraud conspiracy, saying the court should first weigh additional evidence that the government tried its best to prosecute the five-year-old case.

  • October 21, 2026

    SEC Crypto Offering Plan Draws State Outcry, Industry Ideas

    States and watchdog groups told the U.S. Securities and Exchange Commission to withdraw what they deemed a dangerous plan to exempt certain crypto offerings from registration requirements, while the crypto industry backed the proposal in comment letters that urged the agency to let exempted issuers raise even more from investors.

  • October 21, 2026

    Gemini Says Crypto Downturn Sank Stock Post-IPO, Not Fraud

    Crypto exchange operator Gemini Space Station Inc. and some of its current and former executives and directors, including founders Tyler and Cameron Winklevoss, say an overall downturn in the cryptocurrency market is responsible for the exchange operator's plans to shift focus to the prediction market, and the risk of the shift was fully disclosed to investors.

  • October 21, 2026

    Game Co. Investors Seek OK Of $13M Deal On Valuation

    Investors of online gaming company Shanda Games Ltd. have asked a New York federal court to preliminarily approve a $13 million settlement that would end claims the company severely and intentionally undervalued a 2015 going-private transaction.

  • October 21, 2026

    Marex Says Developer Sank CME Ventures Investment Deal

    Financial services firm Marex Capital Markets and two of its executives have sued a British software developer in Illinois federal court, alleging the developer sabotaged a potential investment by CME Group's venture capital arm in Marex's options-trading platform by secretly accusing them of stealing trade secrets, committing fraud and violating exchange rules.

  • October 21, 2026

    Data Center Co. Looks To Toss Investors' Gas Wells Suit

    A data center infrastructure company told a Texas federal court to toss a proposed securities fraud class action that accused the company of damaging its stock value because of a hidden gas well transfer deal and a fraud lawsuit filed by New Mexico.

  • October 21, 2026

    Crypto Broker Gets 13 Years For Laundering Drug Money

    A Manhattan federal judge hit a Colombian cryptocurrency broker with over 13 years in prison Wednesday after he copped, along with a businessman with ties to the Cartier family, to laundering $14.5 million worth of Tether that facilitated narcotics transactions.

  • October 21, 2026

    Fund Manager Challenges Chancery's Congo Palm Oil Ruling

    An investment fund manager and three affiliated entities urged the Delaware Supreme Court Wednesday to overturn a ruling that stripped them of interests in a Congolese palm oil business, arguing it handed fellow investor Kuramo Capital Management LLC an enormous windfall, while Kuramo defended the unusual remedy as necessary to protect its investment from the manager's misconduct.

  • October 21, 2026

    Squire Patton Lands Akerman's Public Finance Co-Leader

    Squire Patton Boggs LLP announced Wednesday that it has added the co-chair of Akerman LLP's public finance group to bolster its capacity to handle public finance, healthcare finance and other matters.

Expert Analysis

  • SEC's Long-Awaited Crypto Rule Is 1st Piece Of Larger Puzzle

    Author Photo

    The U.S. Securities and Exchange Commission's recently proposed crypto rule provides issuers with a workable exempt offering framework but leaves holder-side questions for forthcoming rules, meaning compliance officers and counsel will have to work from an incomplete picture for now, says Josh Burton at Silver Regulatory Associates.

  • How Economic Analysis Informs Consumer Lending Disputes

    Author Photo

    A new wave of consumer lending class actions makes clear that economic analysis of control, pricing, repayment risk and borrower behavior will be central to litigation involving fintech platforms, earned wage access products and online lending models as regulatory enforcement recedes, say economists at The Brattle Group.

  • Q3 Numbers Refine Picture Of SEC Enforcement Trajectory

    Author Photo

    A snapshot of the U.S. Securities and Exchange Commission’s third-quarter enforcement actions suggest the program may be smaller than in prior years, but that it is increasingly concentrated around market abuse and individual misconduct, especially related to insider trading, say Adrienna Huffman, Jan Jindra and Erik Johannesson at The Brattle Group.

  • Calif. Ruling Opens Del. Cos. Up To Stockholder Inspection

    Author Photo

    A California appellate court's recent decision in Salamon v. Orchid Global underscores that despite last year's amendments to the Delaware General Corporation Law, Delaware companies with principal operations in California remain subject to California's broader and more stockholder-protective inspection regime, say attorneys at Sheppard.

  • Series

    Taekwondo Makes Me A Better Lawyer

    Author Photo

    Taekwondo has taught me to recognize when to fight for a position and when to focus on finding a solution, and that the best outcomes are often achieved by solving problems — all of which has improved my work as a bankruptcy lawyer, mediator and Subchapter V trustee, says Amy Denton Mayer at Berger Singerman.

  • NC Crypto Kiosk Law Opens Door To Stricter Fraud Regs

    Author Photo

    North Carolina's new cryptocurrency kiosk law will force operators to build fraud-screening, disclosure and compliance systems before the end of the year, while also providing an opening for more stringent city and county limits on kiosk placement and operations, say attorneys at Moore & Van Allen.

  • Del. Ruling Clarifies Public Benefit Corp. Fiduciary Duties

    Author Photo

    In Drakes Landing v. Tilden Park, the Delaware Court of Chancery recently provided landmark guidance for directors of Delaware public benefit corporations on the fiduciary duties they owe, highlighting that change-of-control transactions may now be protected from challenge under the state's 2025 safe harbor amendments, say attorneys at Richards Layton.

  • Student Loan Suit Draws Line On Testimony In Trust Litigation

    Author Photo

    A recent interlocutory opinion from the Southern District of New York shows securitization experts can explain servicing practices but cannot substitute for authenticated loan-level ownership proof or intent evidence, signaling that parties in student loan trust cases should sharpen recordkeeping and tracing strategies, says attorney Stanley Tate.

  • Del. Boeing Ruling Shows How Compliance Defeats Caremark

    Author Photo

    The Delaware Chancery Court's recent dismissal of shareholder litigation against Boeing's board in the wake of the Alaska Airlines door-plug blowout incident carries significant lessons for shareholders pursuing Caremark claims, and for corporate counsel advising boards on oversight obligations, says Brian Rostocki at Reed Smith.

  • 4th Circ. Class Cert. Ruling Offers Tips For Damages Experts

    Author Photo

    The Fourth Circuit's recent decision reversing class certification in litigation against Boeing raises the cost of a bare-bones damages model proposal for plaintiffs, but it also clarifies what a defensible proposal should contain, say Alok Khare and Erica Rose at FTI Consulting.

  • Opinion

    A Guiding Principle For The SEC On Exempt Capital Markets

    Author Photo

    The U.S. Securities and Exchange Commission's recently proposed Regulation Crypto Assets borrows selectively from other capital-raising exemptions while giving crypto issuers materially different terms, and those unexplained differences reveal the need for a regulatory approach of presumptive parity, says Brian Christie at the Crowdfunding Professional Association.

  • What To Know As Legal Duty To Consider AI Takes Shape

    Author Photo

    While the U.K. Jurisdiction Taskforce’s recent statement on liability for artificial intelligence harms is nonbinding for both U.K. and U.S. lawyers, it highlights the importance of being able to distinguish between the availability of a tool and a professional obligation to use it, say Jonny Frank and Michael Costa at StoneTurn.

  • What Cos. Should Do During Stay Of Nasdaq Delisting Rule

    Author Photo

    The U.S. Securities and Exchange Commission recently approved — and subsequently stayed — Nasdaq's $5 million market value threshold for continued listing, giving companies additional time to evaluate financing opportunities, communicate with investors and consider strategic alternatives, says Joseph Lucosky at Lucosky Brookman.

  • Prepping To Use Crypto Collateral Under Ohio Ownership Law

    Author Photo

    Ohio's digital asset law should ease the path to using cryptocurrency as collateral, and as the October effective date approaches, lenders should update their loan documentation and diligence processes to take advantage of the new control-based perfection rules, say attorneys at Kegler Brown.

  • 5 Lessons For VC Investors From Del. IPO Ruling

    Author Photo

    The Delaware Court of Chancery's recent dismissal of Rostov v. Alcon Research, a derivative action over a proposed initial public offering, provides multiple practice pointers for venture capital investors, including the importance of precisely worded corporate documents and pleading a coherent theory of corporate harm, says Ben Dubin at VC Expert Services.

Want to publish in Law360?


Submit an idea

Have a news tip?


Contact us here
Can't find the article you're looking for? Click here to search the Securities archive.