David Smyth

David Smyth

Brooks Pierce

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Foreign Pink Sheets Companies and the FCPA

Penny stock companies have been much in the news recently. They can be tough entities for law enforcement to look into given that their officers and directors are often not inclined to cooperate with government...more

7/21/2014 - Enforcement Enforcement Actions FCPA Foreign Corporations White Collar Crimes

The SEC v. Congress . . . for the Title

You don’t see this every day. On Friday, the SEC filed a subpoena enforcement action seeking production of documents from the House Ways and Means Committee and documents and testimony from one of its staff members, Brian...more

6/23/2014 - CMS Enforcement Enforcement Actions Mary Jo White Medicare Medicare Advantage SEC Ways and Means Committee

SEC Files First Whistleblower Retaliation Case

Well, you can’t say Sean McKessy didn’t warn you. The chief of the SEC’s whistleblower office has been warning for months at least that his group was looking to bring a stand-alone case enforcing the anti-retaliation...more

6/18/2014 - Anti-Retaliation Provisions Dodd-Frank Enforcement Enforcement Actions Hiring & Firing Popular SEC Whistleblowers

Judge Rakoff Reversed by Second Circuit on SEC-Citi case, Still Sort of Wins

You’d be forgiven if you’d forgotten at this point, but way back in Obama’s first term, the SEC once investigated and sued Citigroup for its involvement in a collateralized debt obligation deal. As the SEC said in its...more

6/5/2014 - Chevron Deference Citigroup Collateralized Debt Obligations Consent Decrees Enforcement Enforcement Actions Interlocutory Appeals Judge Rakoff Popular Risk Management SEC SEC v Citigroup Settlement

Two Thoughts about Dewey LeBoeuf and Parallel Proceedings

You’ve probably read about the Manhattan district attorney’s office’s indictment of executives at former Big Law giant Dewey LeBoeuf. According to the WSJ Law Blog, the crux is this: “[F]ormer Dewey Chairman Steven...more

3/20/2014 - Enforcement Enforcement Actions Parallel Claims SEC

Thinking about SEC Disgorgement

Upon starting work at on SEC enforcement cases – on either side – one quickly learns that the SEC isn’t authorized to seek money damages in its cases. Instead, the SEC seeks disgorgement of what it contends is a defendant’s...more

12/24/2013 - Disgorgement Enforcement Equitable Relief SEC

SEC CustodyFest Vol. 3: Jason Returns

In this last chapter of SEC CustodyFest, we visit Knelman Asset Management Group. For this case, I’m mostly interested in discussing a change to the SEC’s custody rule, Rule 206(4)-2, from 2010....more

12/6/2013 - Compliance Custody Rule Enforcement GAAP PCAOB SEC

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