Once an SEC investigation or action is underway, it is a one-way street, with the SEC controlling the speed and information along the way. Securities cases typically involve high stakes and sensitive matters that could derail more than a transaction. In this article, Paul Vorndran highlights several important issues that transaction and business attorneys should… Read more »
Employees, officers, shareholders, independent contractors, and others might have a role in entity defense. In entity litigation, an attorney must clarify their relationship to each and properly set expectations, boundaries, and responsibilities before discussing information, and steer clear of conflicts of interest. In this five-part series, Nicole Westbrook addresses five critical matters to manage in… Read more »
30(b)(6) witnesses must be prepared to discuss the extensive preparation they went through for a deposition. When those preparations are inadequate, varying sanctions can be imposed. Part 1 in the Protecting an Entity in Litigation series by Nicole Westbrook explores the process of setting parameters, selecting and preparing witnesses, and managing risk. In addition to… Read more »
The SEC adopted final rules imposing new conditions and disclosure requirements on Rule 10b5-1 trading plans, increasing transparency into inside trading plans and related disclosures by SEC registrants. ‒ By Reid A. Godbolt, Esq. The Securities and Exchange Commission (SEC) adopted Final Rules imposing new conditions and disclosure requirements on Rule 10b5-1 trading plans. According… Read more »
On October 26, 2022, the SEC adopted long-awaited “clawback” rules relating to the recovery of erroneously awarded incentive-based executive compensation of SEC registrants. ‒ By Reid A. Godbolt, Esq. On October 26, 2022, the Securities and Exchange Commission (SEC) adopted final rules relating to the recovery of erroneously awarded incentive-based executive compensation of SEC registrants…. Read more »
The idea behind third-party litigation funding is to hedge the downside – which in turn impacts the upside – for a company or law firm in litigation. By Nicole Westbrook Funding litigation has gone upscale from its more modest personal injury roots. With skyrocketing litigation costs, both public and private companies and law firms are turning… Read more »
A lawyer is a “public citizen” with a responsibility for the quality of justice and the rule of law, both locally and internally. Howard Kenison highlights the important work environmental lawyers are providing — in legal knowledge and experience — to the World Justice Project in the ABA’s Natural Resources & Environment Fall 2022 issue. … Read more »
Most eligible county employees in Colorado won the right to elect and form unions with Colorado’s Collective Bargaining by County Employees Act, which goes into effect in 2023 and provides a significant expansion of collective bargaining rights for many county workers. By Larry Lee and Javier Heres, Jones & Keller, P.C., Denver, Colorado This article… Read more »
Once an SEC investigation or action is underway, it is a one-way street, with the SEC controlling the speed and information along the way. Securities cases typically involve high stakes and sensitive matters that could derail more than a transaction. Paul Vorndran shares some of the issues to be aware of and manage for transaction… Read more »
When disputes arise due to confidential arbitration clauses in multilevel marketing matters, potential litigants must wrestle with what to fight. Nicole Westbrook, Jones & Keller in Denver, Colorado, and Spencer Reese, Reese & Richards in Utah, offer up some considerations for these situations. By Nicole Westbrook and Spencer Reese Confidential arbitration clauses present an uphill… Read more »