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D&O Diary 04/18/2019 17:22
On March 28, 2019, amidst much fanfare, the rideshare company Lyft went public at $72 a share, raising more than $2.2 billion. In the first trading day following the offering, the company’s share price rose 8.7 percent. However, despite the initial euphoria, Lyft’s share price then began to slump. Lyft shares closed at $58.36 on … Continue Reading. The post Well, That Didn’t Take Long: Lyft Hit with IPO-Related Securities Suit appeared first on The D&O Diary .
D&O Diary 04/17/2019 17:14
Driven by a general overall increase in the number of securities class action lawsuit filings, as well as by an increase in the number of M&A-related lawsuits involving accounting allegations, the total number of securities class action lawsuits involving accounting allegations filed in 2018 was well above historical levels, according to a newly released Cornerstone ...
D&O Diary 04/16/2019 17:27
Theoretically, claims made insurance coverage applies to claims made during the policy period regardless of when the underlying acts took place. The claims made arrangement contrasts with the framework under an occurrence policy, where coverage applies according to when the underlying acts took place, regardless of when the claim is made. But even though claims … Continue Reading. The post Coverage Complications for Prior Acts Under Claims Made Insurance Policies appeared first on The D&O Diary .
D&O Diary 04/15/2019 17:29
It is a point I have made before but it is worth saying again – private companies are not immune from scrutiny under the federal securities laws. In a series of recent enforcement actions – most notably the SEC’s March 2018 enforcement action against Theranos and two of its executives – the SEC has made … Continue Reading. The post Say It Again: Private Companies Are Subject to the Federal Securities Laws appeared first on The D&O Diary .
D&O Diary 04/14/2019 11:50
As I noted in one of the posts in my Nuts and Bolts series about the basics of D&O insurance, the typical D&O insurance policy includes not only obligations for the insurer, but also obligations on the part policyholder as well. Among these policyholder obligations is the duty to cooperate. In most claims, the cooperation … Continue Reading. The post Insurance Coverage: Thinking about the Duty to Cooperate appeared first on The D&O Diary .
D&O Diary 04/09/2019 17:44
As I have noted in a number of posts (most recently here), the size of securities class action settlements rose significantly in 2018 compared to recent years. But what do the 2018 securities class action settlements look like when broken down according to the lead plaintiffs’ firm involved in the settlement? That is the question … Continue Reading. The post Plaintiffs’ Firms Ranked by Total 2018 Securities Suit Settlement Size and Number appeared first on The D&O Diary .
D&O Diary 04/08/2019 17:16
In the second part of a three part series, Paul Ferrillo and Christophe Veltsos explain how cyber risk assessments can provide value. Paul is a shareholder in the Greenberg Traurig law firm’s Cybersecurity, Privacy, and Crisis Management Practice. Chris is a professor in the Department of Computer Information Science at Minnesota State University, Mankato where … Continue Reading. The post Guest Post: Cyber Risk Health Factors Case Study — Technology Alone Can’t Fix Security appeared first on The D&O Diary .
D&O Diary 04/07/2019 12:54
The D&O Diary finished its European itinerary last week with a visit to Frankfurt for an event there, followed by a weekend stopover in Luxembourg before heading home. The pleasant weather I enjoyed earlier in the week in Switzerland abandoned me in Frankfurt, where it rained, but the nice weather reappeared just in time for … Continue Reading. The post Frankfurt and Luxembourg appeared first on The D&O Diary .
D&O Diary 04/02/2019 17:27
The D&O Diary’s European assignment continued this week with a stop in Zurich, Switzerland’s largest city and one of the world’s leading financial centers, for meetings and an event there. I was fortunate that the beautiful weather I enjoyed in Lucerne followed me to Zurich. Even though I had many meetings scheduled throughout my time … Continue Reading. The post April in Zurich appeared first on The D&O Diary .
D&O Diary 04/02/2019 05:38
In the following guest post, Paul Ferrillo, a partner in the law firm Greenberg Traurig LLP in New York City, takes a look a six recurring problems that directors can have with their D&O insurance and how to avoid them. I would like to thank Paul for allowing me to publish his article as a … Continue Reading. The post Guest Post: Six Avoidable Problems Directors Can Have With Their D&O Insurance appeared first on The D&O Diary .
D&O Diary 04/01/2019 04:40
The D&O Diary is on assignment in Europe this week, with a first stop in the Swiss city of Lucerne (or Luzern as it is known to the locals). I had meetings there on Thursday and Friday and then I was fortunate to spend the weekend there as well. I say “fortunate” because the weather … Continue Reading. The post Springtime in Lucerne appeared first on The D&O Diary .
D&O Diary 03/29/2019 00:43
On March 26, 2019, the SEC announced that it was awarding two whistleblowers a total of $50 million for providing the agency with information that led to a successful enforcement action. The two awards consisted of an award to one individual of $13 million and an award to a second individual of $37million. The $37 … Continue Reading. The post SEC Awards Two Whistleblowers $50 Million, Including Third Largest Ever Individual Award appeared first on The D&O Diary .
D&O Diary 03/27/2019 17:33
In its 2011 decision in the Janus Group case, the U.S. Supreme Court held that one who does not “make” a false statement cannot be held liable under section (b) of Rule 10b-5. In an enforcement action brought against him by the SEC, the defendant, Francis Lorenzo, argued that under the Janus case, he could … Continue Reading. The post Supreme Court: Even One Who Did Not “Make” a False Statement May Still be Subject to Scheme Liability appeared first on The D&O Diary .
D&O Diary 03/26/2019 18:10
Aggregate, average, and median securities class action lawsuit settlement amounts all rose in 2018, according to the latest report from Cornerstone Research. The 2018 total settlement amount of just over $5 billion dollars is substantially higher than the prior year total and in fact is the third-highest total in the past 10 years. The $5 … Continue Reading. The post Cornerstone Research: Securities Suit Settlement Size Increased in 2018 appeared first on The D&O Diary .
D&O Diary 03/24/2019 16:28
For many years, U.S.-listed companies based outside the U.S. have enjoyed a relatively advantageous pricing environment for their D&O insurance. Because many D&O insurance underwriters based outside the U.S. used a different pricing model than their U.S. counterparts, pricing for these foreign filers was in many instances lower than the pricing available to equivalent U.S.-based … Continue Reading. The post The Deteriorating D&O Insurance Environment for Foreign U.S.-Listed Companies appeared first on The D&O Diary .
D&O Diary 03/20/2019 19:02
There is no private right of action under the Foreign Corrupt Practices Act. However, regulatory enforcement actions under the FCPA by U.S. government authorities can and often does result in massive fines and penalties. When companies subject to FCPA enforcement are compelled to pay these penalties they often then hit with follow-on civil lawsuits arising … Continue Reading. The post Russian Telecom Company Hit with FCPA-Related Securities Suit appeared first on The D&O Diary .
D&O Diary 03/19/2019 17:53
A short time ago, a storm of controversy briefly emerged after a Delaware court endorsed a firm’s adoption of a fee-shifting bylaw. The controversy quieted down after the Delaware legislature adopted a statutory provision prohibiting fee-shifting bylaws. The fee-shifting provision controversy could be back, albeit this time in a different state. A Nevada legislator has … Continue Reading. The post Proposed Nevada Legislation Introduces Fee-Shifting in Shareholder Litigation appeared first on The D&O Diary .

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