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On May 18, 2022, the Fifth Circuit issued an opinion vacating a Securities and Exchange Commission (“SEC”) Administrative Law Judge’s (“ALJ”) decision that George Jarkesy, Jr. (“Jarkesy”) and his investment adviser Patriot28, L.L.C. (“Patriot28”) committed securities fraud.

May 19, 2022
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Insight

On April 18, 2022, the Securities and Exchange Commission (“SEC”) announced the fourth enforcement action arising from its EPS Initiative, charging Rollins Inc. (“Rollins”) and its former chief financial officer (“CFO”) with violating Section 17(a) of the Securities Act of 1933 (“Securities Act”) and Sections 13(a), 13(b)(2)(A), and 13(b)(5) of the Securities Exchange Act of 1934 (“Exchange Act”) by engaging in improper accounting practices in order to boost the company’s publicly reported quarterly earnings per share (“EPS”) to meet research analysts’ consensus estimates.

May 5, 2022
Insight
Insight

On March 21, the Securities and Exchange Commission released its much-anticipated proposed climate disclosure rule that would require public issuers to provide certain climate-related information in their public filings. The enforcement implications of such a rule could be far-reaching as companies could now be required to report several new categories of detailed climate-related information, expanding the scope of liability for potential SEC investigations and shareholder litigation.

Published in The Texas Lawbook, April 7, 2022

April 22, 2022
Event Recap
Event Recap
On Tuesday, April 5, 2022, a panel of former Securities and Exchange Commission officials and the current Director of the Fort Worth Regional Office share their thoughts on the SEC’s “unprecedented rulemaking”
April 5, 2022
Video
Insight
Insight

Federal regulators will focus more resources on special purpose acquisition companies seeking to go public because the increased frequency of so-called de-SPACing could lead to a jump in improper accounting, financial misstatements and even fraud, according to a former senior enforcement lawyer with the U.S. Securities and Exchange Commission.

Published in The Texas Lawbook on March 24, 2022

March 31, 2022
Insight
Insight

On March 9, 2022, the Securities and Exchange Commission (“Commission”) issued its much-anticipated proposed rule amendments which would mandate certain cybersecurity disclosures for public companies (“Proposed Rules”).

March 11, 2022
Insight
Insight

A year ago, as the SPAC wave continued to build, we wrote that lawsuits challenging de-SPAC transactions would likely pose a question that had thus far received little attention from courts or commentators: is a de-SPAC transaction subject to entire fairness scrutiny under Delaware law?

V&E SPAC & Shareholder Litigation Update

January 11, 2022
Insight
Insight

Holmes joined the firm the next year following his graduation from the University of Texas Law School and forged his own path as a trial lawyer.

First published in Lawdragon.com 

September 29, 2021
Event Recap
Event Recap
Women Corporate Directors’ 2021 Global Institute – A Recap of Lauren Collins’s Clean Energy Panel
July 6, 2021
Insight
Insight

Two separate, recent lines of cases have continued to shape the circumstances under which insider trading prosecutions can be brought, and as a result, the insider trading compliance risks faced by companies. First, the Supreme Court recently denied certiorari in United States v. Kosinski, which held that it can be an insider trading violation for independent contractors to trade stocks based on information made available to them while subject to a confidentiality agreement.

June 17, 2021
Insight
Insight

As the wave of SPAC IPOs and de-SPAC transactions continues to build, so too has the scrutiny of these transactions from the SEC and the shareholder plaintiff’s bar.

V&E SPAC & Shareholder Litigation Update

April 9, 2021
Insight
Insight

In this article, we provide concrete steps companies can take in anticipation of this sea change in SEC enforcement.

Published in Anti-Corruption Report

March 17, 2021