News & Analysis as of

Criminal Prosecution Securities Regulation Enforcement Actions

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: July 1, 2025

The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more

Troutman Pepper Locke

Conviction in Insider Trading Case Brings New Attention to 10b5-1 Plans

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On June 23, the U.S. Department of Justice announced that Terren Scott Peizer, founder of Ontrak Inc., a Miami-based publicly traded health care company, has been sentenced to three and one half years in prison by a...more

Cooley LLP

New Executive Order Seeks to Curb Overuse of Criminal Actions Brought By Federal Agencies

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Last week, President Trump issued an executive order – entitled “Fighting Overcriminalization in Federal Regulations” – with the goal of curbing the use of criminal penalties otherwise imposed by federal regulations. The...more

Skadden, Arps, Slate, Meagher & Flom LLP

DOJ White Collar Enforcement Plan Continues To Present Risks for Non-US Companies

Matthew Galeotti’s recent memorandum as head of the Department of Justice’s (DOJ’s) Criminal Division echoes the Trump administration’s “America First” priorities. It directs the Criminal Division to “strike an appropriate...more

ArentFox Schiff

Changes in DOJ Policy on Digital Assets Enforcement

ArentFox Schiff on

On April 7, the Deputy Attorney General (DAG) Todd Blanche issued a memorandum entitled “Ending Regulation By Prosecution,” detailing a significant shift in the US Department of Justice’s (DOJ) approach to digital assets....more

White & Case LLP

Evolution of AI Washing Enforcement: DOJ Enters the Picture

White & Case LLP on

On April 9, the US Department of Justice and Securities and Exchange Commission announced parallel cases against the founder and former CEO of an artificial intelligence startup for allegedly misleading investors about his...more

DLA Piper

DOJ and SEC Send Warning on “AI Washing” with Charges Against Technology Startup Founder

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The US Department of Justice (DOJ) announced a criminal indictment and the Securities and Exchange Commission (SEC) announced a civil complaint against the founder and former CEO of an e-commerce technology startup. DOJ and...more

Ballard Spahr LLP

A New Era for Digital Assets: The Impact of DOJ’s Shift Away from Regulation by Prosecution and Its Implications

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In a significant policy shift, Deputy Attorney General Todd Blanche issued a memorandum titled “Ending Regulation By Prosecution,” on April 7, 2025, signaling a change in the Department of Justice’s (DOJ) approach to digital...more

A&O Shearman

SEC Charges Three Arizona Individuals With Fraudulent Municipal Bond Offering

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On April 1, 2025, the Securities and Exchange Commission filed a complaint three individuals for allegedly defrauding investors in a $284 million municipal bond offering intended to finance a sports complex and family...more

Cohen & Gresser LLP

New Year, New Sheriff in Town: Anticipated SDNY Priorities Under Jay Clayton

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A new presidential administration means turnover in top leadership roles throughout the government. Jay Clayton, President Trump’s pick to lead the U.S. Attorney’s Office for the Southern District of New York (“SDNY” or the...more

Polsinelli

Blockchain+ Bi-Weekly - April 2024 #2

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The focus in Web3 law the past few weeks has been on jurisdictional issues when litigating matters involving borderless digital asset transactions. This is expected to be an ongoing issue, as courts work through these...more

Polsinelli

Blockchain+ Bi-Weekly - September 2023

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The Blockchain Bi-Weekly presented by the Polsinelli Blockchain+ team is a rundown of some of the key stories in the Web3, blockchain and crypto ecosystems curated by our attorneys navigating the intersections of code, smart...more

The Volkov Law Group

Episode 286 -- Matt Stankiewicz on the Ripple Decision and Celsius CEO Indictment

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Matt Stankiewicz, Partner at The Volkov Law Group, rejoins the podcast to review the recent Ripple decision by District Judge Torres at the Southern District of New York and the recent indictment of Celsius Networks' CEO. On...more

Burr & Forman

Insider Trading Trending

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This winter has seen insider-trading trending – and not just because President Trump pardoned Michael Milken.  In sequence, several legislative proposals have been working their way through Congress, the Second Circuit...more

Epstein Becker & Green

SEC Sanctions Broker-Dealer and Its CEO for Failing to Supervise an Employee Who Committed Securities Fraud

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On August 20, 2019, the Securities and Exchange Commission (“SEC”) charged Mosaic Capital, LLC, formerly known as AOC Securities, LLC (“AOC”), and its CEO with failing to adequately supervise an employee who engaged in...more

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