Indictments, Investors

SEC and DOJ Warm Up to Enforcement over AI Washing

Holland & Knight LLP on 7/10/2025

In the first artificial intelligence (AI)-washing enforcement cases brought by the SEC and U.S. Department of Justice (DOJ) under the Trump Administration, on April 9, 2025, the SEC and the U.S. Attorney's Office for the...more

SEC Charges Short Publisher for Manipulation Scheme Targeting Retail Investors

Seward & Kissel LLP on 7/30/2024

On July 26, 2024, the Securities and Exchange Commission (SEC) filed a Complaint in the U.S. District Court in Los Angeles charging activist short publisher Andrew Left and Citron Capital, LLC, an investment adviser he...more

Weekly Blockchain Blog - April 2024 #4

BakerHostetler on 4/22/2024

Stablecoin, Wallet Products Launch; German Bank Launches Crypto Services - Circle, a global fintech firm and issuer of the USDC stablecoin, has announced new smart contract functionality to allow holders of BUIDL, a...more

Sculptor Capital Management Inc. agrees to pay fine to resolve a Foreign Corrupt Practices Act case

Health Care Compliance Association (HCCA) on 10/6/2020

Compliance Today (October 2020) - In a case that has remained unresolved for almost a decade, Sculptor Capital Management Inc., formerly Och-Ziff Capital Management, agreed to pay investors in a Congolese mine, who were...more

New York Federal Court’s View on Cryptocurrency as Securities

Sheppard Mullin Richter & Hampton LLP on 9/27/2018

On September 11, 2018, the U.S. District Court for the Eastern District of New York denied a motion to dismiss an indictment of a Brooklyn real estate entrepreneur in relation to two virtual currency investment schemes and...more

Feds Two-Step on Texas Sovereignty has Far-Reaching Compliance Implications

Polsinelli on 2/2/2017

The recent federal grand jury indictment of 21 health care executives, investors, and physicians in connection with the now defunct Dallas-based Forest Park Medical Center effectively turned the Texas health care compliance...more