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$30 million just wasn’t enough for former Silicon Valley CEO
The SEC has charged the former CEO of Silicon Valley-based Alliance Fiber Optic Products, Inc. (AFOP) with insider trading in company stock, which ultimately allegedly generated more than $2 million i...
Petition asks High Court to address 2d Circuit's 'awareness of duty' requirement
A new petition for certiorari asks the Supreme Court to clarify how scienter is demonstrated in insider trading claims brought under the misappropriation theory. The petitioner asserts that the Second...
DOL rule, cybersecurity top list of concerns at ABA conference
Cybersecurity is the focus of the future, according to panelists at the annual meeting of the American Bar Association’s Business Law Section. Protection of information and system security is mo...
OCIE issues risk alert identifying advertising rule compliance issues
The SEC’s Office of Compliance Inspections and Examinations has released a risk alert with a list of compliance issues concerning the advertising rule, Rule 206(4)-1, under the Investment Advise...
Whistleblower’s retaliation and defamation claims against BofI survive dismissal
A whistleblower adequately alleged that his bank employer violated state defamation law as well as retaliation under the Sarbanes-Oxley and the Dodd-Frank Acts. The internal auditor claimed that the b...