The DOJ declined to prosecute a private equity firm for its portfolio company’s pre-acquisition sanctions and export violations, marking the first application of the National Security Division’s M&A Policy. Our White Collar,...more
6/23/2025
/ Criminal Prosecution ,
Department of Justice (DOJ) ,
Due Diligence ,
Economic Sanctions ,
Enforcement Actions ,
Enforcement Priorities ,
Export Controls ,
Non-Prosecution Agreements ,
Private Equity ,
Private Equity Firms ,
Voluntary Disclosure ,
White Collar Crimes
Our White Collar, Government & Internal Investigations and Labor & Employment Groups examine how the Department of Justice (DOJ) could use civil and criminal actions to enforce diversity, equity, and inclusion (DEI) Executive...more
2/24/2025
/ Affirmative Action ,
Civil Rights Act ,
Corporate Counsel ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Diversity ,
Diversity and Inclusion Standards (D&I) ,
Employment Discrimination ,
Enforcement Actions ,
Equal Employment Opportunity Commission (EEOC) ,
Executive Orders ,
False Claims Act (FCA) ,
Title VII ,
Trump Administration ,
Whistleblowers
On September 29, 2023, the U.S. Securities and Exchange Commission (SEC) announced enforcement actions against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment...more
Federal enforcement agencies continue to scrutinize investment advisers’ use of personal devices and messaging platforms to conduct business. Our team reviews how recent penalties should encourage companies to create internal...more
On August 27, 2021, the Securities and Exchange Commission (SEC) announced that it will be paying a collective award of over $1 million to three whistleblowers who provided information leading to a successful enforcement...more
Our Securities Litigation Group reviews the Securities and Exchange Commission Division of Enforcement’s new self-reporting initiative and debates the wisdom of investment advisers admitting their conflicts of interest.
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