Jay A. Dubow

Jay A. Dubow

Pepper Hamilton LLP

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Latest Publications


Executives Beware: The DOJ and SEC Have Set Their Sights on Individual Wrongdoing

The DOJ’s Yates Memo makes individual prosecutions a higher priority and makes a company’s own identification of potentially culpable individuals an explicit factor in assessing cooperation credit....more

9/14/2015 - Corporate Fines Corporate Governance Deferred Prosecution Agreements DOJ DPA Enforcement Actions FCPA Non-Prosecution Agreements Proffer Agreement SEC Wells Notice Whistleblowers White Collar Crimes Willful Misconduct

Halliburton II: Recognizing Costs to Companies, Justices Provide Securities Litigation Defendants New Opportunity to Defeat Class...

On June 25, 2014, the U.S. Supreme Court decided Halliburton Co. v. Erica P. John Fund, No. 13-317, __ U.S. __ (2014), slip op. (U.S. June 23, 2014) (Halliburton II), holding that defendants in a class action securities...more

7/1/2014 - Basic v Levinson Class Certification Fraud Fraud-on-the-Market Halliburton Halliburton v Erica P. John Fund Presumption of Reliance SCOTUS Securities Fraud

Securities And Exchange Commission Creates New Private Fund Unit Dedicated To Examination Of Private Equity And Hedge Funds

On April 7, 2014, it was announced that the United States Securities and Exchange Commission (SEC) has created a new private fund unit dedicated to the examination of private equity and hedge funds....more

4/10/2014 - Enforcement Hedge Funds Private Equity Private Funds SEC

The SEC Is Scrutinizing Asset Valuations—Are You Ready?

The Securities and Exchange Commission (SEC) recently has set its sights on registered entities and their officers and directors for overvaluing the entities’ assets....more

1/10/2013 - Asset Valuations Corporate Officers Directors Enforcement Financial Accounting Standards Board GAAP Hedge Funds Investment Adviser Mutual Funds SEC Valuation

Rule 10b5-1 Stock Trading Plans Are Not Bulletproof

Many corporate executives rely on Rule 10b5-1 plans to buy or sell shares of their company’s stock without having to worry about violating insider trading laws, even when the trades take place when the executive possesses...more

12/17/2012 - 10b5-1 Plans Insider Trading Securities

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