Criminal Prosecution, Administrative Proceedings

Reminder: Insurance Agents/Brokers Are Required to Notify the State of Criminal Prosecutions or Administrative Proceedings

Warner Norcross + Judd on 8/27/2025

Michigan’s Department of Insurance and Financial Services (DIFS) requires insurance producers (individual agents/brokers and business agencies, collectively, “Insurance Producers”) to provide notice of certain criminal or...more

OMB Announces Best Practices for Regulatory Enforcement and Adjudication

Skadden, Arps, Slate, Meagher & Flom LLP on 10/14/2020

On August 31, 2020, the Office of Information and Regulatory Affairs (OIRA), within the Office of Management and Budget (OMB), issued a memorandum to all executive departments and agencies on reforming regulatory enforcement...more

SEC Enforcement in Financial Reporting and Disclosure: 2019 Year-End Update

Jones Day on 1/21/2020

We are pleased to present our annual year-end update on financial reporting and issuer disclosure enforcement activity for 2019. This White Paper focuses on the U.S. Securities and Exchange Commission's ("SEC") enforcement...more

Insider Trading Law Alert: The Second Circuit Clears the Path for Insider Trading Convictions Absent a Dirks Personal Benefit

WilmerHale on 1/8/2020

On December 30, 2019, the Second Circuit issued a consequential insider trading decision in United States v. Blaszczak. In Blaszczak, the Second Circuit faced the question whether the “personal benefit” test set forth in...more

The Seventh Amendment Right to Jury for Violations of the Commodity Exchange Act – Part II

UB Greensfelder LLP on 5/2/2019

This is the second part of a two-part article discussing a defendant’s Seventh Amendment right to jury in an enforcement action by the Commodity Futures Trading Commission under the Commodity Exchange Act for civil monetary...more

The Seventh Amendment Right to Jury for Violations of the Commodity Exchange Act – Part I

UB Greensfelder LLP on 4/30/2019

This is the first of a two-part article discussing a defendant’s Seventh Amendment right to jury in an enforcement action by the Commodity Futures Trading Commission under the Commodity Exchange Act for civil monetary...more