Daniel Marx

Daniel Marx

Foley Hoag LLP

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SEC Enforcement of Rule 105: The Hits Just Keep on Comin’

Last week, in In the Matter of Worldwide Capital, Inc. and Jeffrey W. Lynn, AP File No. 3-15772 (Mar. 5, 2014), the SEC announced the latest—and largest ever—settlement of an administrative enforcement action concerning...more

3/10/2014 - Civil Monetary Penalty Disgorgement Enforcement Enforcement Actions SEC

Private Company Employees Who Blow the Whistle on Public Company Fraud Are Protected from Retaliation

When it passed the Sarbanes-Oxley Act of 2002 (“SOX”), Congress established protections against retaliation for “employees” who report fraud at public companies. Since then, however, courts and commentators have disagreed...more

3/7/2014 - Contractors DOJ FMR LLC Retaliation Sarbanes-Oxley SCOTUS SEC Subcontractors Whistleblower Protection Policies Whistleblowers

Recent Supreme Court Decision Clarifies Key Principles Concerning Withdrawal from Criminal Conspiracies

Smith v. United States Has Significant Implications for White Collar Prosecutions - In Smith v. United States, No. 11-8976 (Jan. 9, 2013), the Supreme Court resolved a circuit split at “the intersection of a withdrawal...more

3/29/2013 - Conspiracies SCOTUS Statute of Limitations White Collar Crimes

The Supreme Court Holds that the “Discovery Rule” Does Not Apply to SEC Enforcement Actions for Financial Penalties and Affirms...

In Gabelli v. SEC, No. 11-1274 (Feb. 27, 2013), a unanimous Supreme Court issued a much anticipated decision on the statute of limitations for civil enforcement actions in which the SEC seeks monetary penalties, fines or...more

3/8/2013 - Discovery Rule Gabelli v SEC SCOTUS SEC Statute of Limitations

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