This is the fourth in our 2024 Year in Preview series examining important trends in white collar law and investigations in the coming year. We will be posting further installments in the series throughout the next several...more
2/27/2024
/ Board of Directors ,
Corporate Counsel ,
Corporate Governance ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement Actions ,
Final Rules ,
Insider Trading ,
Popular ,
Publicly-Traded Companies ,
Recordkeeping Requirements ,
Regulatory Agenda ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation ,
Shareholders ,
Special Purpose Acquisition Companies (SPACs) ,
White Collar Crimes
On January 11, 2021, the U.S. Supreme Court vacated the 2019 decision of the U.S. Court of Appeals for the Second Circuit in United States v. Blaszczak, which substantially broadened the scope of criminal insider trading...more
1/25/2021
/ Appeals ,
Bridgegate ,
Carpenter v US ,
Centers for Medicare & Medicaid Services (CMS) ,
Department of Justice (DOJ) ,
Dirks v SEC ,
Employees ,
Hedge Funds ,
Insider Trading ,
Investigations ,
Kelly v United States ,
Personal Benefit ,
Remand ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Tippees ,
White Collar Crimes
On Tuesday, May 5, the Department of Justice (DOJ) filed charges in the federal District Court of Rhode Island against David A. Staveley and David Butziger for conspiracy to make a false statement and conspiracy to commit...more
The recently-reported sales of stock by several U.S. Senators following private briefings on the COVID-19 pandemic, apparently allowing them to avoid significant losses before the markets plummeted, have focused attention on...more
Editors’ Note: This is the first in our start-of-year series examining important trends in white collar law and investigations in the coming year. Up next: a look at trends in health care enforcement. Look for additional...more
1/6/2020
/ Administrative Authority ,
Broker-Dealer ,
Cyber Threats ,
Cybersecurity ,
Data Breach ,
Data Security ,
Digital Assets ,
Disgorgement ,
Enforcement Actions ,
Individual Accountability ,
Initial Coin Offering (ICOs) ,
Investment Adviser ,
Investors ,
Popular ,
Publicly-Traded Companies ,
Regulatory Authority ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Violations ,
Token Sales ,
White Collar Crimes
Takeaways for Companies, Investment Advisers and Broker-Dealers -
On November 15, 2019, the SEC’s Office of the Whistleblower (“OWB”) issued its annual report for fiscal year 2019. The report contains some important details...more
On Tuesday, October 8, 2019, the Department of Justice provided guidance on how its prosecutors should evaluate claims of corporate poverty. This comes on the heels of Deputy Assistant Attorney General Matthew Miner’s...more
10/11/2019
/ Civil Monetary Penalty ,
Corporate Crimes ,
Corporate Criminal Fines ,
Corporate Misconduct ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Enforcement ,
Failure To Pay ,
Federal Sentencing Guidelines ,
New Guidance ,
White Collar Crimes
On September 12, 2019, Deputy Assistant Attorney General Matthew Miner signaled that the Department of Justice may provide further guidance to prosecutors—and companies—on how to evaluate claims of corporate poverty. In a...more
9/16/2019
/ Corporate Counsel ,
Corporate Crimes ,
Corporate Criminal Fines ,
Corporate Misconduct ,
Criminal Penalties ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Failure To Pay ,
Federal Sentencing Guidelines ,
New Guidance ,
White Collar Crimes