Dodd-Frank Litigation
Private Companies Can Have SOX Whistleblowers Too
Employment, Litigation, Public Companies and Securities Section 806 of the Sarbanes-Oxley Act, codified at 18 U.SC. §1514A provides in part that: “No [public] company . . . , or any officer, employee, contractor, subcontractor, or agent of such company, may discharge, demote, suspend, threaten, harass, or in any other manner discriminate against an employee in the terms and conditions of employment […] Read more →
SEC Private Equity Enforcement: Expenses, Distributions, Marketing and Custody
Investment Advisers, Litigation, Private Equity Recent SEC charges against a registered investment adviser to a private fund and one of its co-founders illustrate recurring themes in SEC enforcement actions against private... Read more →
Examples of Merger Agreement Provisions Addressing Attorney-Client Privilege After Great Hill
Litigation, Private Equity In Great Hill Equity Partners IV v. SIG Growth Equity Fund I, Del. Ch., C.A. No. 7906-CS (Nov. 15, 2013), the Delaware Court of Chancery held that the target’s attorney-client... Read more →
Court Notes Form 8-K Is Not the Exclusive Source of Disclosure Obligations
Litigation, Public Companies and Securities In re Hi-Crush Partners L.P. Securities Litigation (2013 WL 6233561 (S.D.N.Y.) (December 2013) examines the interplay between Form 8-K triggering events and other disclosure... Read more →