Morgan Lewis

Litigation

Publications of Interest

802 Publications Found
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11/13/08 The SEC's Director of Enforcement Reaffirms the SEC's Vital Mission to Restore Investor Confidence, Complinet

Outside Publications | Article
Jeffrey Brooks, Matthew Stratton

November 2008 EPA Revises Definition of Solid Waste to Encourage Recycling of Hazardous Secondary Materials

White Paper | Morgan Lewis White Paper
William Pufko, Michael Steinberg, John McAleese, III, Kenneth Rubin

On October 30, 2008, the United States Environmental Protection Agency (EPA) published a final rule revising the definition of “solid waste” to exclude certain hazardous secondary materials from regulation under Subtitl... more

11/11/08 Retail Brokerage and Advisory Issues, presented at the SIFMA Compliance and Legal Division 2008 Fall Compliance Seminar, New York

Presentation | Speech
Ben Indek

11/04/08 Financial Turmoil and the Expanding Reach of the FCPA

LawFlash/Client Alert | Financial Crisis Impact and Analysis Alert
Brian Privor, Mark Srere

The current worldwide financial crisis may lead to unexpected results for U.S. businesses and individuals in their efforts to comply with the Foreign Corrupt Practices Act (FCPA). As foreign governments bail ou... more

11/03/08 The Consumer Product Safety Improvement Act of 2008: Deputizing State Attorneys General and Plaintiffs’ Lawyers

LawFlash/Client Alert | Litigation LawFlash
Litigation Practice

On August 14, President Bush signed the Consumer Product Safety Improvement Act of 2008 (the Act), imposing more stringent standards for consumer product safety. The Act specifically addresses children’s produc... more

10/20/08 Conflicts of Interest, presented at the NSCP National Membership Meeting 2008, Philadelphia

Presentation | Speech
Ivan Harris

10/20/08 Massachusetts Office of Consumer Affairs and Business Regulation Issues Regulations Governing Protection of Consumer Information

LawFlash/Client Alert | Litigation LawFlash
Litigation Practice

Massachusetts has joined the growing list of states that are requiring businesses to encrypt and secure personal data. On January 1, 2009, new regulations will take effect that apply to all “persons who own, li... more

10/17/08 Defending an SEC Administrative Proceeding, presented at the ALI-ABA Webcast on SEC and State Enforcement and Litigation

Presentation | Speech
Christian Mixter

10/17/08 Disclosure, Management Practices, and Corporate Governance Relating to Climate Change Financial Risks

LawFlash/Client Alert | Climate Change Alert
Business and Finance Practice

Recent action by the Attorney General of the State of New York will affect how public companies disclose and address climate change financial risks. On August 27, 2008, the Attorney General announced a settleme... more

10/17/08 SEC Administrative Enforcement Litigation in FY 2008, presented at the ALI-ABA Webcast on SEC and State Enforcement and Litigation

Presentation | Speech
Christian Mixter

10/15/08 SEC Lifts the Veil on Its Enforcement Process by Publishing Enforcement Manual

LawFlash/Client Alert | Securities LawFlash
Ivan Harris, Ben Indek, Christian Mixter

In an effort to make its processes more transparent, last week the SEC made public its Division of Enforcement Manual. Substantial sections of the 122-page manual will be familiar to veterans of the Division of... more

10/06/08 Be Careful When It Comes to Paying Expenses in Asia. Our Government is Watching. The Recorder

Outside Publications | Article
Amy Conway-Hatcher, Mark Srere

10/05/08 The Emergency Economic Stabilization Act of 2008: Impact of the Historic New Law

LawFlash/Client Alert | Financial Crisis Impact and Analysis Alert
Business and Finance Practice

The Emergency Economic Stabilization Act of 2008 (the “Act”) was signed into law by President Bush on October 3, 2008. Passage of the Act was the result of intense debate in both the U.S. Senate and the U.S. Ho... more

09/24/08 Supervision Challenges in a Changing Electronic World, presented at the SIFMA Electronic Communications and Records Forum, New York

Presentation | Speech
Ben Indek

09/22/08 Newly Adopted Federal Rule Attempts to Address Privilege and Work Product Waiver Concerns

LawFlash/Client Alert | eData LawFlash
eData Practice

On Friday, September 19, 2008, President Bush signed into law S. 2450, which adds Rule 502 to the Federal Rules of Evidence. According to its drafters, the new rule is designed "to limit the consequences of ina... more

09/17/08 Companies Affected by Hurricane Ike Should Act Promptly to Protect Their Rights to Insurance Coverage

LawFlash/Client Alert | Insurance Recovery LawFlash
Insurance Recovery Practice

Hurricane Ike has caused very substantial loss throughout the Texas Gulf Coast. As the region begins to recover, Morgan Lewis’s Insurance Recovery lawyers are already working with our clients nationwide to ensu... more

09/11/08 New Ninth Circuit Decision Makes Alleging Scienter Easier for Plaintiffs

LawFlash/Client Alert | Securities LawFlash
Litigation Practice

In the years following the passage of the Private Securities Litigation Reform Act of 1995 (PSLRA), plaintiffs have tried numerous approaches to satisfying the PSLRA’s stringent requirement to plead a “strong i... more

September 2008 Mid-Year Review FCPA Webcast

Presentation | Webcast
Amy Conway-Hatcher, Alicia Villarreal, Brian Privor, Mark Srere, Robert Goldspink

08/28/08 Houston Office Litigation Brochure

Marketing Material | Brochure

August 2008 U.S. SEC, FINRA and NYSE Regulation: Mid-Year Review – Selected Broker-Dealer Enforcement Cases and Developments

White Paper | Morgan Lewis White Paper
Kurt Rademacher, Ben Indek, Anne Flannery, Michael Kraut, Bonnie Altro, Kerry Land

This outline highlights selected U.S. Securities and Exchange Commission ("SEC" or the "Commission"), Financial Industry Regulatory Authority ("FINRA"), and NYSE Regulation enforcement actions and developments regarding... more

08/05/08 Amendment to New York Insurance Law Requires Insurers to Prove Prejudice in Order to Deny Coverage for Late Notice

LawFlash/Client Alert | Insurance Recovery LawFlash
Insurance Recovery Practice

On July 23, New York Governor David A. Paterson approved a revision to New York’s Insurance Law heralding important and long-awaited changes in favor of policyholders.

The new law revises Section 3420 o... more

08/05/08 EPA Audit Policy Now Available to Post-Acquisition Compliance Audits by New Owners of Regulated Facilities

LawFlash/Client Alert | Litigation LawFlash
Litigation Practice

In an effort to broaden the use of its 1990 Audit Policy (Audit Policy), the U.S. Environmental Protection Agency (EPA) has expanded the applicability of the policy to include post-acquisition compliance audits... more

July/August 2008 California, Climate Change, and the Constitution, The Environmental Forum, Vol. 25, No. 4

Outside Publications | Article
Brettny Hardy

For more information, please visit www.eli.org.

August 2008 Strategies for Handling Unwanted Litigation in England

LawFlash/Client Alert | International Litigation Strategies Article
Litigation Practice

Every year, U.S. companies are sued in England. For those companies not accustomed to it, English litigation involves an unfamiliar legal system and procedures. U.S. companies must first deal with a legal profe... more

07/28/08 Recent DOJ FCPA Opinions Provide Guidance on Preacquisition Due Diligence and Promotional Expenses

LawFlash/Client Alert | Litigation LawFlash
Amy Conway-Hatcher, Mark Srere

The Department of Justice (DOJ), through its Foreign Corrupt Practices Act (FCPA) Opinion Release Procedure, recently provided guidance on two important issues facing companies conducting business overseas. Fir... more

07/25/08 Texas Courts Embrace the National Trend on Household Asbestos Exposure (co-author), Legal Backgrounder (published by the Washington Legal Foundation), Vol. 23, No. 32

Outside Publications | Article
Joy Palazzo

07/15/08 Department of Justice Announces Key Changes to the Principles of Federal Prosecution of Business Organizations

LawFlash/Client Alert | Litigation LawFlash
Martha Stolley, Leslie Caldwell, Lisa Tenorio-Kutzkey

In a July 9 letter to the U.S. Congress, Deputy Attorney General Mark Filip outlined significant upcoming changes to the Department of Justice's (the Department's) controversial Principles of Federal Prosecutio... more

07/08/08 Significant Insurance Coverage Issues Arise from FDA Salmonella-Related “Recall”

LawFlash/Client Alert | Insurance Recovery LawFlash
Insurance Recovery Practice

The recent national salmonella outbreak has sickened at least 810 people in 36 states and the District of Columbia. It has cost the food industry at least $100 million, according to the National Restaurant Asso... more

07/05/08 Directors and Officers Insurance: Key Issues and Trends, hosted by Lorman Education Services

Presentation | Speech
Kevin Dreher

06/26/08 Ninth Circuit Ruling: Employee Text Messages Shielded from Employer Review

LawFlash/Client Alert | eData LawFlash
eData Practice

On June 18, the Court of Appeals for the Ninth Circuit held in Quon v. Arch Wireless Operating Co. , No. 07-55282 (9th Cir.), that employee text messages are subject to the Stored Communications Act of ... more

06/20/08 Directors and Officers Insurance: Claims Updates, hosted by Lorman Education Services

Presentation | Speech
Kevin Dreher

06/18/08 Conducting a Cost Effective Internal Investigation: Overcoming Conflicting Local Laws and Traditions, presented at the ACI's Third European Forum on Anti-Corruption, London

Presentation | Speech
Robert Goldspink

06/17/08 Using Anti-Money Laundering Controls to Reduce Anti-Corruption Risk, presented at the ACI's Third European Forum on Anti-Corruption, London

Presentation | Speech
Mark Matthews

June 2008 UK Should Focus on Transparency, International Financial Law Review

Outside Publications | Article
Robert Falkner

05/29/08 Avoiding Gifts and Hospitality Pitfalls, presented at the FCPA Boot Camp, Chicago

Presentation | Speech
Amy Conway-Hatcher

05/28/08 The Foreign Corrupt Practices Act Demystified, presented at the FCPA Boot Camp, Chicago

Presentation | Speech
Amy Conway-Hatcher

05/20/08 Assessing Ramifications and Ensuring Right Decisions Based on Investigation Results, presented at the Sixth National Forum on Conducting, Managing, and Responding to Corporate Investigations Conference, Washington, D.C.

Presentation | Speech
Mark Srere

05/20/08 School of Hard Knocks: Uncertainty in FCA Damages Awards Looms for Universities, published in ABA's Civil False Claims Act and Qui Tam Enforcement Conference Materials

Outside Publications | Article
Barbara Van Gelder, Melissa Miller

May 2008 An Overview of Climate Change Law

White Paper | Morgan Lewis White Paper
James Long

Climate change issues are generating one of the most rapidly changing and critically important components of environmental law. Most of the developments discussed in this overview have occurred in the last seve... more

05/15/08 Trends in Penalties in SEC Enforcement Cases Brought Against Public Companies, presented at the 20th Annual ALI-ABA Course of Study – Accountants' Liability, San Diego

Presentation | Speech
Christian Mixter

05/08/08 Emerging Regulatory Trends Facing Member Firms and Hedge Funds, presented at the NYSE Regulation-Division of Enforcement and Risk Group Offsite Conference, New York

Presentation | Speech
Ben Indek

05/06/08 Compliance with U.S. Laws/FCPA, presented at the WESFACCA Joint Ventures and Strategic Alliances Seminar, Darien, CT

Presentation | Speech
Mark Srere

05/06/08 SEC Fires Another Warning Shot Over Insider Trading Policies and Procedures

LawFlash/Client Alert | Securities LawFlash
Ben Indek

For well over a year, SEC enforcement and examination officials have emphasized the staff’s focus on insider trading, particularly by securities industry professionals. This focus has proceeded largely on two f... more

05/01/08 SEC Enforcement Litigation in FY 2007, presented at the ALI-ABA Course Of Study Securities Litigation Planning And Strategies Program, Boston

Presentation | Speech
Christian Mixter

04/29/08 Averting the 'Purchase' of an FCPA Violation in the Wake of Increased M&A Activity, presented at the FCPA and International Anti-Corruption for Pharma and Life Sciences Conference, New York

Presentation | Speech
Amy Conway-Hatcher

04/29/08 Exerting Greater Control Over Non-U.S. Subsidiaries, presented at the FCPA and International Anti-Corruption for Pharma and Life Sciences Conference, New York

Presentation | Speech
Mark Srere

04/28/08 Judges' BAE Ruling Struck a Vital Blow for the Rule of Law, The Lawyer (click here to read the article)

Outside Publications | Article
Robert Goldspink

04/24/08 Insurance Coverage For Sub-Prime Litigation Liabilities, presented at PBI's 12th Annual Insurance Institute, Philadelphia

Presentation | Speech
Richard McMenamin, Carol Carty

04/18/08 Conducting Internal Investigations, presented at FINRA Class Room Learning: Compliance Essentials, New York

Presentation | Speech
Ben Indek

04/08/08 Ninth Circuit Rules That Government Need Not Disclose Simultaneous Criminal Investigation

LawFlash/Client Alert | Litigation LawFlash
E. Andrew Southerling

The U.S. Court of Appeals for the Ninth Circuit issued an important opinion on April 4, addressing governmental conduct and defendant constitutional rights in parallel civil and criminal investigations. The cou... more

04/02/08 Electronic Communications, presented at the SIFMA C&L Annual Seminar, Orlando, FL

Presentation | Speech
Ben Indek

04/01/08 Annual SIFMA-CL Conference: “Top 10½” Examination Priorities for 2008

LawFlash/Client Alert | Securities LawFlash
Litigation

The April 1 General Session of the annual SIFMA-CL Conference , “Current SEC Issues,” featured SEC senior staff members Andrew “Buddy” Donohue, Lori Richards, Erik Sirri, Andrew Vollmer, and Shelley Parratt. Dav... more

April 2008 Conducting Internal Investigations After Enron and KPMG, presented at the Pennsylvania Bar Institute, Philadelphia and Pittsburgh

Presentation | Speech
Meredith Auten

Spring 2008 Rethinking Child Advocacy after Roper v. Simmons: "Kids are Just Different" and "Kids are Like Adults" Advocacy Strategies, Cardozo Public Law, Policy & Ethics Journal, Vol. 6, No. 2

Outside Publications | Article
Elisa Poncz

03/10/08 SEC Warns Public Pension Funds and Other Unregistered Investment Advisers on Insider Trading

LawFlash/Client Alert | Securities LawFlash
Litigation, Investment Management, and Business and Finance

Last Thursday, the SEC warned public pension funds and other unregistered investment advisers on the need for vigilance and adoption of policies and procedures to address potential insider trading issues. The s... more

03/10/08 The rogue to ruin: Société Générale has become the latest victim of rogue trading, but after years of repeated systemic failure, regulations must respond and improve. The Lawyer (click here to read the article)

Outside Publications | Article
Robert Falkner

03/06/08 Pennsylvania Supreme Court to Consider Whether Section 402A of the Restatement (Second) of Torts (Strict Liability) Should Be Replaced by Section 2 of the Restatement (Third) of Torts

LawFlash/Client Alert | Litigation LawFlash
Litigation

On February 27, the Pennsylvania Supreme Court entered an order accepting allocatur to address the issue: “Whether this Court should apply § 2 of the Restatement (Third) of Torts in place of § 402A of the Restatement (S... more

02/28/08 Now, You’re A Lawyer, Daily Journal

Outside Publications | Article
Joan Haratani

02/20/08 Foreign Corrupt Practices Act: Bribery in the International Marketplace, presented at the the ABA's Philadelphia Young Lawyers Division of the White Collar Crime Committee Conference, Philadelphia

Presentation | Speech
Eric Sitarchuk

02/14/08 The Legal Tsunami—How to Manage the Crisis When Your Industry Faces a Product-Related Mass Tort, presented at the 2008 Committee on Corporate Counsel Seminar, Scottsdale, AZ

Presentation | Speech
Joan Haratani

January/February 2008 2007 Year In Review: SEC and SRO Enforcement Cases and Developments Regarding Broker-Dealers, NSCP Currents

Outside Publications | Article
Ben Indek, Anne Flannery, Michael Kraut

01/31/08 Morgan Lewis Expands in Texas: New Partners Build Three National Practice Areas

LawFlash/Client Alert | Litigation LawFlash
Litigation

Morgan Lewis is excited to welcome eight lawyers—Litigation partners Paul Krieger , Hugh Tanner , Lucas Elliot , David Levy , Rick Rambo , and more

01/29/08 Best Strategies to Deal with Multi-Jurisdictional Investigations and Joint Investigations, presented at C5's International Conference on Anti-Corruption, Frankfurt

Presentation | Speech
Jürgen Beninca

01/28/08 Stoneridge: A Step Forward For "Loss Causation," Securities Law360

Outside Publications | Article
Joaquin Ezcurra

01/25/08 Avoiding Gifts & Hospitality Pitfalls, presented at the FCPA Boot Camp, Houston

Presentation | Speech
Alicia Villarreal

01/24/08 The Foreign Corrupt Practices Act Demystified, presented at the FCPA Boot Camp, Houston

Presentation | Speech
Alicia Villarreal

January 2008 2007 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

White Paper | Morgan Lewis White Paper
Ben Indek, Anne Flannery, Michael Kraut

This outline highlights selected U.S. Securities and Exchange Commission (“SEC” or the “Commission”), NASD, NYSE Regulation, and Financial Industry Regulatory Authority (“FINRA”) enforcement actions and develop... more

01/17/08 2007 Foreign Corrupt Practices Act (FCPA) Year in Review, presented at a Morgan Lewis Webcast

Presentation | Speech
Amy Conway-Hatcher, Brian Privor, Mark Srere

01/17/08 Supreme Court Affirms Limitations on Third-Party Liability for Securities Fraud

LawFlash/Client Alert | Litigation LawFlash
Litigation

On January 15, 2008, in Stoneridge Investment Partners, LLC v. Scientific-Atlanta, Inc. , the Supreme Court affirmed in a 5-3 opinion the Eighth Circuit Court of Appeals’ decision, which dismissed claim... more

01/10/08 Anatomy of a Corporate Crisis

Presentation | Speech
Brendan Dolan, Dawn Pittman, Lisa Tenorio-Kutzkey, John Hemann

2008 Investor-State Arbitration (Oxford University Press)

Outside Publications | Book
Don Wallace, Jr.

By: Christopher F. Dugan; Don Wallace, Jr.; Noah D. Rubins; Borzu Sabahi

Excerpt from Chapter XVII: “Fair and Equitable Treatment” and “Full Protection and Security”

Among the most discussed sta... more

2008 Corporate Investigations and White Collar Deskbook 2008

Book | Morgan Lewis Deskbook
Amy Conway-Hatcher, Mark Srere

To request a copy, please email deskbook@morganlewis.com with your contact information and with "White Collar Deskbook" in the subject line... more

2008 FSA Regulatory Action against Short-Selling Market Abuse, Bloomberg European Law Journal, Vol. 2, No. 9

Outside Publications | Article
Robert Falkner

January 2008 Market Abuse, ISR

Outside Publications | Article
Robert Falkner

Winter 2008 The Early Katrina Coverage Decisions: Has the Landscape Been Changed? Tort Source, American Bar Association, Vol. 10, No. 2

Outside Publications | Article
Carol Carty

2007 I Know About The Federal eDiscovery Rules, Now What About The States? Electronic Discovery and Retention Guidance for Corporate Counsel 2007

Outside Publications | Chapter
Renée Lawson

December 2007 The Impact of MiFID on Cross-Border MTFs for Professionals

LawFlash/Client Alert | International Update
Robert Falkner

December 2007 UK Credit Market Regulation

LawFlash/Client Alert | International Update
Robert Falkner

12/11/07 Directors & Officers Liability Insurance: Trends and Updates, hosted by Lorman Education Services

Presentation | Speech
Kevin Dreher

12/06/07 Recent Delaware Decision Orders Production of Communications Among Independent Counsel, Special Committee, and Full Board of Directors in Stock Options Investigation

LawFlash/Client Alert | Litigation LawFlash
William Kimball, Leslie Caldwell

In a recent decision that may have significant implications for corporate internal investigations and for special committee practice, a Delaware court ordered the production to civil plaintiffs of all communications bet... more

December 2007 A Quest for Acceptance: The Real ID Act and the Need for Comprehensive Gender Recognition Legislation in the United States, Michigan Journal of Gender & Law, Vol. 14, No. 2

Outside Publications | Article
Jason Allen

December 2007 Corporate Crimes: Exposure of the British for Overseas Bribery, Bloomberg European Law Journal, Vol. 1, No. 3

Outside Publications | Article
Emma O'Kane, Robert Goldspink

11/29/07 What Turns Legal Conduct into Market Manipulation? A District Court Answers That Bad Intent Is Enough, But Only Where It Is the Sole Intent

LawFlash/Client Alert | Securities LawFlash
Litigation

A decision by the Southern District of New York in SEC v. Masri , 04 Civ. 1584 (S.D.N.Y. Nov. 21, 2007) (RJH), granting summary judgment and dismissing claims against a broker, seeks to clarify the inte... more

11/21/07 Different Rules for Different Suspects, Cal Law

Outside Publications | Article
Leslie Caldwell, Lisa Tenorio-Kutzkey

11/16/07 Conducting Internal Investigations, presented at the Financial Industry Regulatory Authority, Inc. (FINRA) Institute at Wharton, Chicago

Presentation | Speech
Brian Herman

11/14/07 DOJ's Inconsistent Publicizing of Suspects (Not Accused), New York Law Journal

Outside Publications | Article
Leslie Caldwell, Lisa Tenorio-Kutzkey

11/08/07 Additional Issues for Derivative Cases, Corporate Governance, and Disclosure, presented at The ERISA and Securities Law Issues That Will Hit Your Balance Sheet in 2008: What Every General Counsel Needs to Know Webcast, Chicago

Presentation | Speech
Brian Herman

11/08/07 The Law of Insider Trading

Presentation | Speech
E. Andrew Southerling

11/06/07 The New FCPA Sheriff in Town: You

LawFlash/Client Alert | Litigation LawFlash
Brian Privor

The government’s enforcement of the Foreign Corrupt Practices Act (FCPA) has been steadily increasing, and all signals point to even more aggressive enforcement. While immigration and terrorism have dominated r... more

November 2007 How to react to Northern Rock, International Financial Law Review

Outside Publications | Article
Robert Falkner

10/30/07 Governance, Risk and Compliance Track: SEC Enforcement Actions, presented at the 14th Annual Institutional Investor/MARHedge Global Hedge Fund Summit, Bermuda

Presentation | Speech
Ivan Harris

10/17/07 Ethics for Compliance Officers, presented at the 2007 NSCP National Membership Meeting, Washington, D.C.

Presentation | Speech
Ben Indek

10/17/07 Protecting the Chief Compliance Officer From Regulatory and Civil Liability, presented at the 2007 NSCP National Membership Meeting, Washington, D.C.

Presentation | Speech
Anne Flannery

10/16/07 Avoiding Software Licensing Disputes: What You Need to Know and Deal With Up Front, presented at the American Conference Institute's the Practical and Tactical Art of the Deal in Software Licensing Agreements, San Francisco

Presentation | Speech
Molly Lane

10/04/07 How Minority Attorneys Survive in Large Law Firms, presented at a Bar Association of San Francisco Panel, San Francisco

Presentation | Speech
Joan Haratani

10/03/07 The Diversity Advantage: Leveraging the Power of Difference, presented at the Practising Law Institute's Professional Legal Management Week, San Francisco

Presentation | Speech
Joan Haratani

October 2007 The D.C. Circuit’s Remand of the SEC’s Order Sustaining an NASD Disciplinary Proceeding Puts Focus on the Standard for SEC Review of Sanctions Imposed by SROs, Banking & Financial Services Policy Report

Outside Publications | Article
Ivan Harris, Adrienne Ward

09/20/07 Meeting the Supervisory Challenge, presented at Complinet's New York Summit, New York

Presentation | Speech
Ben Indek

09/20/07 Second Circuit Reverses Summary Judgment in Merrill Lynch Case Against Allegheny Energy

LawFlash/Client Alert | Litigation LawFlash
Litigation

On August 31, the U.S. Court of Appeals for the Second Circuit reversed a much-publicized $158 million summary judgment in favor of Merrill Lynch. The case arises out of Merrill Lynch’s dispute with Allegheny E... more

September 2007 California, Climate Change, and the Constitution, Environmental Law Reporter, Vol. 37

Outside Publications | Article
Brettny Hardy

September 2007 Making your job easier: An introduction to eData

Presentation | Speech
Stephanie Blair, Renée Lawson

September 2007 The Fifth Circuit's Positive Software Solutions v. New Century Mortgage - Underscoring the Need for a Positive Solution to Arbitrator Disclosure for a New Century, Transnational Dispute Management, Vol. 4, Issue 5

Outside Publications | Article
Shana Cappell, Laurie Foster

08/01/07 The D.C. Circuit’s Remand of the SEC’s Order Sustaining an NASD Disciplinary Proceeding Puts Focus on the Standard for SEC Review of Sanctions Imposed by SROs

LawFlash/Client Alert | Securities LawFlash
Securities Industry

A recent opinion by the D.C. Circuit in PAZ Securities, Inc. v. SEC , No. 05-1467 (D.C. Cir. July 20, 2007), has dealt yet another blow in what had been, until a mere 18 months ago, the NASD’s and other SROs’ vi... more

07/30/07 Delaware Chancery Court Gives Close Scrutiny to Private Equity Transactions

LawFlash/Client Alert | Litigation LawFlash
Litigation

In three opinions issued this year arising out of the recent wave of private equity transactions, Vice Chancellor Leo E. Strine, Jr., of the influential Delaware Court of Chancery, has granted limited injunctive relief<... more

07/27/07 Third Circuit Issues Important New Precedent on Attorney-Client Privilege

LawFlash/Client Alert | Litigation LawFlash
Litigation

On July 17, 2007, the U.S. Court of Appeals for the Third Circuit issued a precedential opinion regarding the attorney-client privilege under Delaware law in the context of a parent-subsidiary joint representation.more

2007 A Coverage Catch-22: The policyholder’s perspective on the interplay between Fiduciary Liability and D&O Policies

Outside Publications | Article
Christopher Loeber, Kurt Rademacher

Summer 2007 U.S. SEC, NASD, and NYSE Regulation: Selected Enforcement Cases and Developments in the First Half of 2007 Regarding Broker-Dealers

White Paper | Morgan Lewis White Paper
Ben Indek, Michael Kraut, Alice McCarthy, Matthew Kalinowski

This outline focuses on selected U.S. Securities and Exchange Commission (“SEC”), NASD, and NYSE Regulation enforcement actions and developments in the first half of 2007 regarding broker-dealers.

To d... more

06/26/07 The Supreme Court Clarifies Plaintiffs’ Burden for Pleading State of Mind in Securities Fraud Cases

LawFlash/Client Alert | Litigation LawFlash
Litigation

On June 21, 2007, the Supreme Court of the United States issued an opinion about securities fraud claims under the Private Securities Litigation Reform Act of 1995 (PSLRA) that potentially affects all public companies. ... more

06/19/07 Insurance Coverage for Community Health Care Centers in the Wake of a Catastrophic Loss, hosted by the LPCA and Southwest Regional Primary Care Association at the Annual Continuing Education Conference, New Orleans

Presentation | Speech
Kevin Dreher

06/18/07 White Collar Crime: Court borders - With a number of countries breaking down barriers on cross-border white-collar crime, UK nationals who breach their codes could find themselves facing foreign justice, The Lawyer (click here to read the article)

Outside Publications | Article
Thierry Dalmasso, Mark Bravin, Robert Goldspink

06/07/07 Designing an Effective Retail Compliance Program, presented at SIFMA's 2007 Chicago Regional Seminar, Chicago

Presentation | Speech
Ben Indek

06/07/07 Directors & Officers Liability Insurance: Avoiding Pitfalls to Coverage, hosted by Lorman Education Services

Presentation | Speech
Kevin Dreher

June 2007 Privacy and Outsourcing: Evolving Concerns, Outsourcing Leadership (click here to read the article)

Outside Publications | Article
Mo Taherzadeh

05/30/07 Second Circuit Rules District Court Lacked Jurisdiction to Order KPMG to Stand Trial for Its Failure to Pay Defendants’ Legal Fees

LawFlash/Client Alert | Litigation LawFlash
Litigation

The U.S. Court of Appeals for the Second Circuit in New York held on May 23, 2007 that District Judge Lewis Kaplan lacked jurisdiction to open a separate civil proceeding to resolve an attorney fee dispute between KPMG LLP and former partners and employees charged with the sale of allegedly improper tax shelters.

Spring 2007 Evolution Toward Neutrality: Evolution Disclaimers, Establishment Jurisprudence Confusions, and A Proposal of Untainted Fruits of a Poisonous Tree, Rutgers Journal of Law and Religion, Vol. 8.2

Outside Publications | Article
Asma Uddin

Spring 2007 Defending Data Privacy Class Actions, ABA's Class Actions & Derivatives Suits, Vol. 17, No. 2

Outside Publications | Article
Gregory Parks

04/23/07 BD Regulatory Audits, presented at the NSCP East Coast Meeting, Boston

Presentation | Speech
Ben Indek

04/13/07 Writing a Winning Legal Argument: What To Do and What Not To Do, presented at the Appellate Practice Committee of the ABA Section of Litigation Conference, San Antonio

Presentation | Speech
Peter Buscemi

Spring 2007 China's Proposed International Adoption Law: The Likely Impact on Single U.S. Citizens Seeking to Adopt from China and the Available Alternatives, Harvard International Law Journal Online, Vol. 48

Outside Publications | Article
Elisa Poncz

Spring 2007 How Positive Environmental Politics Affected Europe's Decision to Oppose and then Adopt Emissions Trading, Duke Environmental Law and Policy Forum, Vol. 17

Outside Publications | Article
Brettny Hardy

April 2007 The Securities and Exchange Commission’s New Course on Penalties, BNA Securities Regulation E Law Report

Outside Publications | Article
Christian Mixter

03/31/07 Defending an SEC Administrative Proceeding, presented at the 2007 ALI-ABA Securities Litigation Program, Boston

Presentation | Speech
Christian Mixter

03/26/07 Electronic Communications, presented at the SIFMA Compliance & Legal Division's 2007 Annual Seminar, Phoenix

Presentation | Speech
Ben Indek

03/16/07 Introduction of the President, Asian American Bar Association of the Greater Bay Area's Annual Installation Dinner, San Francisco

Presentation | Speech
Joan Haratani

03/01/07 Keynote Speaker, NALP’s 2007 Diversity Summit, Chicago

Presentation | Speech
Joan Haratani

March 2007 Successful Strategies in Managing White Collar Investigations, presented at the ABA's 21st Annual White Collar Institute, San Diego, CA

Presentation | Speech
Meredith Auten

03/01/07 The Application of Policy Limits for Asbestos Bodily Injury Claims: A Policyholder’s Perspective of California Law on (i) Products Versus Operations Claims, and (ii) Number of Occurrences, American Bar Association's Section of Litigation

Outside Publications | Article
Michel Horton, Paul Zevnik, Jeffrey Raskin

March/April 2007 The Retirement Revolution, Sacramento Lawyer, Vol. 108, No. 2

Outside Publications | Article
Kim-An Hernandez

March 2007 The State of Play in Variable Annuities: Revisiting Best Supervisory and Control Practices, BISA

Outside Publications | Article
John Hartigan, E. Andrew Southerling

March 2007 When Accountants Litigate: Decisions in Contested Rule 102(e) Proceedings, 2000-2006, presented at the 19th Annual ALI-ABA Course of Study – Accountants’ Liability, Boston

Presentation | Speech
Christian Mixter

February 2007 The Regulatory Examination Process

White Paper | Morgan Lewis White Paper
Jeffrey Brooks, Ben Indek, Anne Flannery

This White Paper discusses several key topics in an effort to provide information concerning regulatory examinations and to furnish practical guidance to compliance professionals on the handling of such inspections.

02/01/07 A Clearer Picture, Legal Week (click here to read the article)

Outside Publications | Article
Robert Goldspink

February 2007 The Fine Print of Insurance Coverage, Mortgage Banking

Outside Publications | Article
John Shugrue, Gary Smuckler

2007 Lab Corp v. Metabolite: Everything Under the Sun?, presented at the Massachusetts Bar Association, Boston

Presentation | Speech
Michael Kallus

2007 Prudent Process: Emerging Guidelines for ESOP Fiduciaries from Court Decisions, Insights

Outside Publications | Article
Julie Govreau, Theodore Becker

12/08/06 Can Your Company Be Sued for Data Breach? E-Commerce Times

Outside Publications | Article
Gregory Parks

12/04/06 Taming the Beast - Implementation of Effective Best Practices for Electronic Data Discovery, presented at the PLI - Electronic Discovery and Retention Guidance for Corporate Counsel Conference, San Francisco

Presentation | Speech
Renée Lawson

December 2006 Exposing The "Phantom Epidemic" in Silica Litigation, Law.com

Outside Publications | Article
Roger Smith

11/20/06 Don't Start a Backdating Witch Hunt, Legal Times, Vol. 29, No. 47

Outside Publications | Article
Christian Bartholomew

11/13/2006 Securities Industry Association, presented at the Compliance and Legal Division Fall Compliance Seminar, New York

Presentation | Speech
Ben Indek

11/15/06 Hot Topics in Consumer Class Actions for Retail Companies (Data Privacy Class Actions): (View Recording)

Presentation | Webcast
Gregory Parks, J. Cooney, Jr., Joseph Fay

November 2006 Protecting Attorney-Client Privilege, presented at the 12th Annual PBI Business Lawyers Institute

Presentation | Speech
Meredith Auten

10/19/06 BD Regulatory Audits: What You Need to Know, presented at the NSCP 2006 National Membership Meeting, Washington, D.C.

Presentation | Speech
Ben Indek

10/17/06 Welcome Remarks to the Seventh Annual A.A. Sommer, Jr. Corporate Securities & Financial Law Lecture, New York

Presentation | Speech
Ben Indek

10/12/06 Putting the Effective in Your Compliance Program, presented at the SIA Compliance & Legal Division Regional Seminar, Washington, D.C.

Presentation | Speech
Ben Indek

09/21/06 US Firms in London: Regulation Nation, Legal Week (click here to read the article)

Outside Publications | Article
Robert Falkner

09/07/06 Unfair Competition Suits Targeting Illegal Hiring

LawFlash/Client Alert | Litigation LawFlash
Litigation

Many larger companies who purportedly use illegal aliens as a material component of their work force are being threatened to be sued for unfair business practices and anticompetitive behavior. The impetus for these threa... more

08/15/06 The Financial Services Authority's Enforcement Procedures in the United Kingdom

White Paper | Morgan Lewis White Paper
Jon Gerty, Robert Falkner

The Financial Services and Markets Act 2000 (“FSMA”) gives the FSA significant powers to impose a variety of sanctions on firms and individuals for breaches of rules under FSMA and other legislation. The FSA can publicly... more

08/15/06 The Financial Services Authority's Market Abuse Regime in the United Kingdom

White Paper | Morgan Lewis White Paper
Jon Gerty, Robert Falkner

On 1 July 2005, the Financial Services and Markets Act 2000 (Market Abuse) Regulation 2005 (the “Regulations”) came into force in order to implement the EC Directive on Insider Dealing and Market Manipulation (Market Abuse) ... more

August 2006 Misappropriation of Trade Secrets/Confidential Information & Covenants Not to Compete, presented at a CLE Seminar for In-House Counsel, Houston

Presentation | Speech
Mo Taherzadeh