Louis Greenstein

Louis Greenstein

McGuireWoods LLP

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Second UBS Tax Investigation Shows the Continuing Allure of Whistleblower Law

News leaked late last week that Swiss banking giant UBS is again under DOJ investigation for aiding tax fraud by U.S. clients. In 2009, UBS pled guilty to a criminal tax conspiracy charge, and received a deferred prosecution...more

2/18/2015 - Banks Criminal Conspiracy Deferred Prosecution Agreements DOJ Government Investigations Tax Fraud UBS Whistleblower Protection Policies Whistleblowers

How Does Your Firm Compare? Results from the SEC’s Cybersecurity Examinations

On Feb. 3, 2015, the Securities and Exchange Commission (SEC) published a Risk Alert summarizing observations gleaned from a cybersecurity examination sweep of 57 registered broker-dealers (BDs) and 49 registered investment...more

2/13/2015 - Broker-Dealer Cybersecurity FFIEC Investment Adviser NIST Risk Alert SEC

Tippee Liability for Insider Trading Remains Focus in Second Circuit Following Newman, Conradt

The significant impact on insider trading prosecutions following the Second Circuit’s landmark ruling in United States v. Newman, 773 F.3d 438 (2d Cir. 2014) continues. ...more

2/2/2015 - En Banc Review Hedge Funds Illegal Tipping Insider Trading Material Nonpublic Information Personal Benefit Petition For Rehearing Portfolio Managers Securities Securities Fraud US v Newman

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