Kiersten Fletcher

Kiersten Fletcher

Morrison & Foerster LLP

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Insider Trading Annual Review - 2013

Looking Back - 2013 witnessed several long-anticipated developments in the world of insider trading, punctuating another year of aggressive enforcement in the United States and abroad. After years of pursuit, the...more

1/8/2014 - Compliance DOJ Insider Trading SEC White Collar Crimes

FINRA Continues its Crackdown on Companies that Fail to Respond to Red Flags

FINRA continues to discipline broker-dealers that fail to detect and investigate so-called “red flags” of suspicious account activity. Yesterday, FINRA announced a $1 million fine against COR Clearing LLC (the “Firm”) –...more

12/19/2013 - Anti-Money Laundering Compliance Enforcement Actions FINRA

The Second Circuit Speaks: The Presumption Against Extraterritoriality Applies to Criminal Prosecutions

Last Friday, the Second Circuit held that the presumption against extraterritoriality applies to criminal cases, resolving a key question left open by the United States Supreme Court in Morrison v. National Australia Bank,...more

9/4/2013 - Criminal Prosecution Extraterritoriality Rules Foreign Corporations Foreign Jurisdictions Foreign Nationals Jurisdiction Morrison v National Australia Bank SCOTUS

FINRA Increases the Cost of Penny Stock-Related AML Deficiencies

The price tag for failing to detect suspicious activity in penny stocks through an adequate anti-money laundering program continues to increase. Oppenheimer & Co., Inc. recently agreed to pay FINRA more than $1.4 million to...more

8/16/2013 - Anti-Money Laundering FINRA Internal Controls Money Laundering Stocks

FINRA Focuses on Anti-Money Laundering Procedures and Red Flags

Last week, the Financial Industry Regulatory Authority (FINRA) publicized penalties against three companies – as well as four associated individuals – that it found had failed to establish and implement adequate procedures...more

5/17/2013 - Anti-Money Laundering Bank Secrecy Act FINRA Red Flags Rule

What Does Cooperation Buy You?

Cooperation. The word is filled with meaning for enforcement professionals. The U.S. Securities and Exchange Commission and the U.S. Department of Justice profess to weigh it heavily when making charging and sanctioning...more

4/9/2013 - Cooperation Initiative DOJ Insider Trading Penalties Prison SEC

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