Nota Bene Episode 95: Mapping Capital Markets and Securities Enforcement in the Current COVID-19 Moment with Jamie Mercer and John Stigi


While COVID-19 took the American capital markets by surprise, the resulting impact might be better than expected. We’re taking a look at how American capital markets are faring in these pandemic times, including a closer look at the world of Initial Public Offerings (IPOs) and securities litigation.

Joining me for this conversation are two guests – Jamie Mercer and John Stigi.

Jamie Mercer is a partner in the Corporate Practice Group in Sheppard Mullin’s San Diego (Del Mar) and London offices. Jamie’s practice focuses on corporate law, with an emphasis in U.S. and cross-border capital markets and merger and acquisition transactions.

John Stigi is a partner in the Business Trial Practice Group, leader of Sheppard Mullin’s national Securities Enforcement and Litigation Team, and Office Managing Partner of the firm's Century City office. John's practice focuses on securities class action and shareholder derivative action defense, SEC investigation defense, internal corporate investigations, complex contract and commercial litigation, and M&A and corporate governance litigation.

What We Discussed in This Episode:

  • What does the current marketplace for IPO’s look like?
  • Will emerging businesses in need of capital succeed in these times?
  • Has there been a shift in how IPO’s are formed?
  • How has the ability of businesses to list on multiple exchanges been affected, if at all?
  • Will the shift to IPO-related meetings that rely on technology like Zoom video conferencing last?
  • Has the pandemic affected the volume and quality of securities litigation?
  • How could an investigation of PPP loan related inquiries potentially trigger a securities investigation?
  • Are there any new special concerns when it comes to disclosures by companies wanting to go public?
  • What must companies disclose in their IPO documents now?
  • Are there comparative differences between U.S. capital markets and those of international ones?
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