Articles by Keith Blackman
Tracking the Ultrafast Dynamics of Carbon–Carbon Bond Formation Following CH 3 I Photodissociation on Amorphous Silicon Oxide Surfaces
Conflicts of Interest The authors declare no conflicts of interest. Data Availability Statement The data that support the findings of this study are available from the corresponding author upon reasonable request. Supporting Information Filename Description cphc70582-sup-0001-SuppData-S1.pdf525 KB This provides information about the experimental approach, surface characterization, and the interaction between CH3I and the amorphous SiOx surface.
Akerman Partners Honored in Lawdragon's 2027 500 Leading Litigators in America
Lawdragon named five Akerman partners to its "2027 500 Leading Litigators in America," a guide widely regarded as one of the most authoritative assessments of litigation talent in the United States. Honorees are selected through a competitive process combining submissions, independent journalistic research, and editorial vetting from a board of peers. The Akerman partners named to the 2027 list are: Keith Blackman, New York: Commercial Litigation, especially Financial Kanika D.
FINRA Facts And Trends: April 2024
Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month, we report on FINRA's first salvo against market-disrupting "FinFluencers," a pivotal ruling that restricts who may be deemed a "customer" under FINRA rules, a new type of claim that has surged into the top 10 most common types of disputes filed in FINRA, and much more.
FINRA Facts and Trends: April 2024 | JD Supra
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month, we report on FINRA’s first salvo against market-disrupting “FinFluencers,” a pivotal ruling that restricts who may be deemed a “customer” under FINRA rules, a new type of claim that has surged into the top 10 most common types of disputes filed in FINRA, and much more.
ShapeShift Fine Epitomizes SEC's Crypto Policy, And Its Flaws
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ShapeShift Fine Epitomizes SEC's Crypto Policy, And Its Flaws
Get instant access to the one-stop news source for business lawyers Register Now! Sign up now for free access to this content Enter your details below and select your area(s) of interest to stay ahead of the curve and receive Law360's daily newsletters Email (NOTE: Free email domains not supported) First Name Last Name Job Title Phone PLEASE NOTE: A verification email will be sent to your address before you can access your trial.
FINRA Facts And Trends: March 2024 - - United States
Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution.
FINRA Facts and Trends: March 2024 | JD Supra
March 22, 2024 Keith Blackman, Russell Gallaro, Joshua Klein Bracewell LLP + Follow x Following x Following - Unfollow Contact To embed, copy and paste the code into your website or blog: Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution.
FINRA Facts and Trends: March 2024
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution.
Time Has Come for Special Masters to Streamline Bankruptcy Cases | JD Supra
Since the first Johnson & Johnson talc bankruptcy was filed in 2021, Judge Michael Kaplan has faced countless disagreements in the US Bankruptcy Court. These range from discovery fights, disputes over administration of tens of thousands of individual claims and all-out conflict over the total amount in controversy.
Time Has Come for Special Masters to Streamline Bankruptcy Cases
Since the first Johnson & Johnson talc bankruptcy was filed in 2021, Judge Michael Kaplan has faced countless disagreements in the US Bankruptcy Court. These range from discovery fights, disputes over administration of tens of thousands of individual claims, and all-out conflict over the total amount in controversy.
FINRA Facts And Trends: January 2024
Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. We dedicate this month's issue to FINRA's 2024 Annual Regulatory Oversight Report. Read about the Report's findings and observations, below.
The Questions Around Prometheum's SEC-Compliant Strategy
ADVERTISEMENT Don't want ads? Subscribe or login now. By Keith Blackman (January 30, 2024, 10:09 AM EST) -- Regulatory uncertainty remains a major hurdle in the way of widespread adoption of cryptocurrency. While the U.S. Securities and Exchange Commission has sought to apply traditional securities concepts to the crypto marketplace, the cryptocurrency industry is pushing for specific regulations governing the trading of digital assets.
FINRA Facts and Trends: January 2024 | JD Supra
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. We dedicate this month’s issue to FINRA’s 2024 Annual Regulatory Oversight Report. Read about the Report’s findings and observations, below.
FINRA Facts And Trends: December 2023
Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution.
FINRA Facts and Trends: December 2023 | JD Supra
December 7, 2023 Keith Blackman, Russell Gallaro, Joshua Klein Bracewell LLP + Follow x Following x Following - Unfollow Contact To embed, copy and paste the code into your website or blog: Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution.
What SEC Retreat in Ripple Case Means for Crypto Regulation
The US Securities and Exchange Commission (SEC) has made no secret of its regulation by enforcement approach to cryptocurrency policy, choosing to craft its strategy case-by-case rather than through rulemaking. While this flexible tactic undoubtedly has some benefits, the SEC’s recent inability to hold two crypto executives personally responsible for alleged securities law violations demonstrates the limits of its piecemeal approach.
What SEC Retreat In Ripple Case Means For Crypto Regulation
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FINRA Facts And Trends: October 2023
Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month, we report on ongoing constitutional challenges to FINRA's enforcement authority, the possible expansion of the SEC's WhatsApp record-keeping probe to Zoom and other video calling platforms, several multimillion-dollar settlements of FINRA enforcement actions, and more.
FINRA Facts and Trends: October 2023 | JD Supra
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month, we report on ongoing constitutional challenges to FINRA’s enforcement authority, the possible expansion of the SEC’s WhatsApp record-keeping probe to Zoom and other video calling platforms, several multimillion-dollar settlements of FINRA enforcement actions, and more.
FINRA Facts and Trends: September 2023 | JD Supra
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution.
FINRA Facts and Trends: September 2023
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution.
SEC's Move On NFTs Continues Pattern Of Case-by-Case Regulation
Last week, the SEC filed its first ever enforcement action on non-fungible tokens, charging a media and entertainment company with conducting an unregistered sale of NFTs called "Founder's Keys." Although the issuer, Impact Theory, immediately settled the enforcement action, the SEC's apparent determination to regulate digital assets beyond cryptocurrency may raise a thorny precedent.
SEC’s Move on NFTs Continues Pattern of Case-by-Case Regulation
Thursday, September 7, 2023 Last week, the SEC filed its first ever enforcement action on non-fungible tokens, charging a media and entertainment company with conducting an unregistered sale of NFTs called “Founder’s Keys.” Although the issuer, Impact Theory, immediately settled the enforcement action, the SEC’s apparent determination to regulate digital assets beyond cryptocurrency may raise a thorny precedent.
SEC’s Move on NFTs Continues Pattern of Case-by-Case Regulation Original
Last week, the SEC filed its first ever enforcement action on non-fungible tokens, charging a media and entertainment company with conducting an unregistered sale of NFTs called “Founder’s Keys.” Although the issuer, Impact Theory, immediately settled the enforcement action, the SEC’s apparent determination to regulate digital assets beyond cryptocurrency may raise a thorny precedent.
SEC’s Move on NFTs Continues Pattern of Case-by-Case Regulation
Last week, the SEC filed its first ever enforcement action on non-fungible tokens, charging a media and entertainment company with conducting an unregistered sale of NFTs called “Founder’s Keys.” Although the issuer, Impact Theory, immediately settled the enforcement action, the SEC’s apparent determination to regulate digital assets beyond cryptocurrency may raise a thorny precedent.
Generic ESG Statements and Securities Class Actions: Goldman Sachs Secures Second Circuit Victory in Long-Running Class Certification Battle
A three-judge panel for the US Court of Appeals for the Second Circuit reversed a district court’s class certification in the decade-long Arkansas Teacher Retirement System v. Goldman Sachs Group litigation regarding allegedly false public disclosures made by Goldman regarding its corporate governance and ethics policies and procedures.
FINRA Facts And Trends: July 2023
Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution.
FINRA Facts and Trends: July 2023 | JD Supra
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution.
There Ought to Be a Law Before Enforcing Unwritten Crypto Rules
In the span of 24 hours, the Securities and Exchange Commission opened fire against two cryptocurrency giants. On June 5, it filed a wide-ranging, 13-count complaint against Binance—the world’s largest cryptocurrency exchange—along with its founder Changpeng Zhao. The SEC alleged that Binance failed to register as a securities exchange, conducted unregistered securities offerings, and committed securities fraud.
There Ought to Be a Law Before Enforcing Unwritten Crypto Rules
In the span of 24 hours, the Securities and Exchange Commission opened fire against two cryptocurrency giants. On June 5, it filed a wide-ranging, 13-count complaint against Binance—the world’s largest cryptocurrency exchange—along with its founder Changpeng Zhao. The SEC alleged that Binance failed to register as a securities exchange, conducted unregistered securities offerings, and committed securities fraud.
FINRA Facts and Trends: May 2023 | JD Supra
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month, we report on FINRA’s appearance at SIFMA, new Reg BI guidance, and the SEC’s approval of further changes to the expungement process. Read about these issues, along with notable enforcement actions and regulatory notices, below.
FINRA Facts And Trends: November 2022 - Financial Services - United States
Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month, we report on FINRA's targeted sweep of crypto-related communications, further proposed amendments to the expungement rule, and FINRA's crack down on small-cap IPOs, Read about these issues, along with notable enforcement actions and arbitration decisions, below.
FINRA Facts and Trends - November 2022 | JD Supra
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month, we report on FINRA’s targeted sweep of crypto-related communications, further proposed amendments to the expungement rule, and FINRA’s crack down on small-cap IPOs, Read about these issues, along with notable enforcement actions and arbitration decisions, below.
FINRA Facts and Trends - October 2022 | JD Supra
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month, we report on FINRA’s first Regulation BI enforcement action, reveal rare praise from the investors’ bar for FINRA’s arbitration procedures, and outline FINRA’s revised sanctions guidelines.
FINRA Facts and Trends - September 2022 | JD Supra
October 3, 2022 Keith Blackman, Russell Gallaro, Joshua Klein Bracewell LLP + Follow x Following x Following - Unfollow Contact To embed, copy and paste the code into your website or blog: Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution.
FINRA Facts and Trends: July 2022 | JD Supra
Two Years Later, Regulation BI Remains a “Tremendous Priority” for FINRA June 30th marked two years since the implementation of Regulation Best Interest (“Reg BI”) and the client relationship summary or Form CRS. Firm compliance with these new regulations remains a priority for FINRA, having conducted more than 570 firm exams relating to Reg BI through the end of 2021.
FINRA Facts and Trends: July 2022
Two Years Later, Regulation BI Remains a “Tremendous Priority” for FINRA June 30th marked two years since the implementation of Regulation Best Interest (“Reg BI”) and the client relationship summary or Form CRS. Firm compliance with these new regulations remains a priority for FINRA, having conducted more than 570 firm exams relating to Reg BI through the end of 2021.
FINRA Facts and Trends: June 2022 | JD Supra
June 16, 2022 Keith Blackman, Russell Gallaro, Joshua Klein Bracewell LLP + Follow x Following x Following - Unfollow Contact To embed, copy and paste the code into your website or blog: Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution.
Half a Loaf Is Not Enough: Second Circuit Sustains Fraud Claim for Failure to Disclose SEC Investigation Original
Companies under US Securities and Exchange Commission (SEC) investigation focus on marshaling the facts, defenses and related strategies during the course of the investigation and making presentations to the enforcement staff. However, there is also a parallel issue that companies often grapple with: whether the investigation should be publicly disclosed. In general, public companies under investigation are not required to disclose the existence of the investigation to the public.
Preparing to Testify in Response to an SEC Subpoena
When investigating companies, brokerage firms, investment advisors, and other entities and individuals, the U.S. Securities and Exchange Commission (SEC) relies heavily on its subpoena power. Once the SEC launches a formal investigation, it can issue administrative subpoenas to the company executives, brokers, and others.
FINRA Facts and Trends | JD Supra
Understand What’s Happening in the Financial Industry Regulatory World With Commentary and Updates From Bracewell’s Experienced FINRA Team We are pleased to introduce the inaugural issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution.
Generic ESG Statements Remain Under Fire: Class Certification Granted for the Third Time as the Saga of the Goldman Sachs Securities Litigation Continues | Bracewell LLP - JDSupra
Back in June, we analyzed the Supreme Court’s decision in Goldman Sachs Group v. Arkansas Teacher Retirement System, which examined the extent to which a corporation’s arguably generic public statements could form the basis of a securities fraud action.
Generic ESG Statements Remain Under Fire: Class Certification Granted for the Third Time as the Saga of the Goldman Sachs Securities Litigation Continues
December 14, 2021 Firms Settle FINRA Charges for Supervisory Violations on UIT Rollovers by: Cadwalader, Wickersham & Taft LLP The Intersection of Export Controls and Human Rights: Combating the... by: Fatema K. Merchant and Mario Andres Torrico Build Back Better Act Update: Class Waiver Provisions Gone, Penalty... by: Mia Farber and David R.
Broker-Dealer Settles FINRA Charges for Compliance Failures
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FINRA's Eileen Murray Defends Increased Regulation of ESG | JD Supra
In a recent interview with CNBC, FINRA Chair Eileen Murray forcefully made the case for increased government regulation of environmental, social and governance (ESG) disclosures by public companies. Citing concerns with the lack of ESG accountability, consistency and transparency, Murray opined that the current system of self-regulation and reporting is not enough: “I see ESG as an ecosystem. . . .
ESG Investing Guidance from the U.S. Securities and Exchange Commission
July 28, 2021 Where Are We Now? Trends in Telehealth Utilization by: David Manko and Krusheeta R. Patel CDC’s New Guidance Recommends Masks for Fully-Vaccinated Individuals by: Adam T. Pankratz and Charles L. Thompson, IV Chemours Co. v. Daikin Industries – Back to Some IP Basics by: Warren Woessner Newly Proposed FCA Amendments Would Hinder Defendants by: Kevin M. Coffey IRS issues Guidance on The Deductibility of Fertility Treatments for... by: John T. Lutz and Terence H.
Will Mandated ESG Disclosures Lead to Increased Litigation Risk? | JD Supra
With the Securities and Exchange Commission resolute in its efforts to establish new disclosure requirements related to environmental, social and governance (ESG) risks, companies appear increasingly resigned to some measure of mandatory reporting. But these companies haven’t yet given up: in an effort to contain litigation risk, they continue to press the SEC to show some flexibility in the means by which ESG risks are reported.
Will Mandated ESG Disclosures Lead to Increased Litigation Risk?
Thursday, July 1, 2021 With the Securities and Exchange Commission resolute in its efforts to establish new disclosure requirements related to environmental, social and governance (ESG) risks, companies appear increasingly resigned to some measure of mandatory reporting. But these companies haven’t yet given up: in an effort to contain litigation risk, they continue to press the SEC to show some flexibility in the means by which ESG risks are reported.
Supreme Court's Ruling in Goldman Sachs Leaves Open a Path for Securities Fraud Claims Based on Generic ESG Statements | JD Supra
In April, we analyzed whether a corporation’s purely generic public statements on environmental, social and governance (“ESG”) issues could form the basis of a subsequent securities fraud action. At the time, we identified a case pending before the United States Supreme Court, Goldman Sachs Group v. Arkansas Teacher Retirement System, which had the potential to offer significant clues to the future of ESG-related litigation based on generic statements.
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