Search for: "Anne Sherry"
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12 Sep 2022, 8:44 am
By Anne Sherry, J.D.After warning the Starbucks board that its diversity, equity and inclusion (DEI) policies were discriminatory, the American Civil Rights Project is suing Starbucks officers and directors on behalf of a shareholder. [read post]
9 Sep 2022, 10:06 am
By Anne Sherry, J.D.The SEC adequately—and timely—alleged that six individuals participated in a scheme to evade the registration and beneficial owner reporting requirements of the securities laws. [read post]
31 Aug 2022, 7:22 am
By Anne Sherry, J.D.NASAA is asking the SEC to reject two proposed FINRA rule changes involving how firms carry out their supervisory responsibilities. [read post]
29 Aug 2022, 7:33 am
By Anne Sherry, J.D.The Trustees of the Florida State Board of Administration, including Governor Ron DeSantis, passed a resolution requiring fund managers to invest state funds based solely on “pecuniary factors,” which expressly excludes “the furtherance of social, political, or ideological interests. [read post]
23 Aug 2022, 6:20 am
By Anne Sherry, J.D.The acquisition of a financial firm from a Cantor Fitzgerald affiliate was entirely fair to the buyer’s stockholders, even though Cantor CEO Howard Lutnick stood on both sides of the transaction. [read post]
22 Aug 2022, 6:13 am
By Anne Sherry, J.D.In an effort to “pull Florida back from the upside down,” a federal court in the state enjoined enforcement of portions of the Individual Freedom Act that would bar employers from conducting mandatory trainings and other employee activities that espouse what defendant Ron DeSantis has characterized as a “woke” viewpoint. [read post]
9 Aug 2022, 9:01 pm
We know as much because secular Jews—including very prominent ones like Anne Frank and her family—perished along with observant ones. [read post]
8 Aug 2022, 7:40 am
By Anne Sherry, J.D.Retaliatory intent is a required element of a whistleblower claim under Sarbanes-Oxley, the Second Circuit held. [read post]
2 Aug 2022, 7:14 am
By Anne Sherry, J.D.An amendment to a company’s articles designed to prolong the CEO’s control under a dual-class share structure passed muster with the Delaware Court of Chancery. [read post]
22 Jul 2022, 4:00 am
Prosecutors say Sherry Xue Li and Lianbo Wang raised $27 million for a grandiose development plan that never got close to approval, then siphoned off millions of dollars for personal expenses. [read post]
20 Jul 2022, 6:35 am
By Anne Sherry, J.D.The North American Securities Administrators Association is requesting public comment on four proposed revisions to its guidelines on real estate investment trusts. [read post]
11 Jul 2022, 5:20 am
By Anne Sherry, J.D.UBS Financial Services knew about significant risks of a complex options trading strategy, but its advisers were not adequately trained and supervised to ensure those risks were communicated to clients, according to a settled SEC order. [read post]
6 Jul 2022, 7:03 am
By Anne Sherry, J.D.The SEC exceeded its statutory authority when it ordered the national securities exchanges and FINRA to come up with a consolidated plan for market data that included non-SRO representatives. [read post]
20 Jun 2022, 7:46 am
By Anne Sherry, J.D.A suit against Elon Musk and his companies SpaceX and Tesla alleges that the defendants are engaging in a crypto pyramid scheme by manipulating the cryptocurrency Dogecoin. [read post]
17 Jun 2022, 6:57 am
By Anne Sherry, J.D.The SEC is exploring whether certain “information providers” meet the definition of an investment adviser and thus are subject to the registration requirements and other regulations of the ’40 Acts. [read post]
3 Jun 2022, 8:46 am
By Anne Sherry, J.D.A securities-fraud plaintiff seeking class certification should be required to present a model of class-wide damages, not just promise that one is possible, the U.S. [read post]
4 May 2022, 7:32 am
By Anne Sherry, J.D.Virtually all the companies that voluntarily reported their diversity practices to the SEC Office of Minority and Women Inclusion (OMWI) consider diversity and inclusion in their recruiting practices, according to a report newly published by the SEC. [read post]
20 Apr 2022, 6:22 am
By Anne Sherry, J.D.In a statement, SEC Commissioner Hester Peirce called out the agency for failing to declare effective a SPAC’s Form S-4 registration statement, tanking its plans to acquire SolarMax Technology. [read post]
19 Apr 2022, 7:33 am
By Anne Sherry, J.D.The Delaware Superior Court determined that parties to a contract denominated in cryptocurrency were entitled to over $25 million in damages. [read post]
6 Apr 2022, 7:06 am
By Anne Sherry, J.D.In opening remarks at the SEC’s Small Business Forum, Martha Miller, the Advocate for Small Business Capital Formation, spoke on the need to rethink rather than remain mired in the same ideas about fixing capital-raising policy. [read post]
