A New York federal grand jury recently indicted a Swiss lawyer and bank executive for their roles in allegedly assisting US citizens with hiding assets in Swiss bank accounts, allowing the US citizens to evade income taxes....more
5/1/2013
- Foreign Banks Grand Juries Tax Evasion Tax Fraud
The US District Court for the Southern District of New York recently ordered Uriel Sharef, a former Siemens AG board member and German citizen accused of bribing Argentine government officials, to pay a $275,000 civil penalty...more
4/30/2013
- Bribery Civil Monetary Penalty FCPA Penalties SEC Settlement
The District Court for the District of Columbia has held that the Securities and Exchange Commission is exempt from producing documents relating to its audit, inspections, and review of the Financial Industry Regulatory...more
3/27/2013
- Audits Document Productions FINRA FOIA SEC
Frederic Bourke Jr. (Bourke) recently lost a second appeal stemming from his 2009 conviction for violating the Foreign Corrupt Practices Act (FCPA). That conviction arose out of Bourke’s investment in a venture that sought a...more
12/6/2012
- FCPA
On November 15, the Securities and Exchange Commission released its Annual Report on the Dodd-Frank Whistleblower Program (DFWP), which is required by the Dodd-Frank Wall Street Reform and Consumer Protection Act....more
12/6/2012
- Dodd-Frank SEC Whistleblowers
