Louis Greenstein

Louis Greenstein

McGuireWoods LLP

Contact  |  View Bio  |  RSS

Latest Publications


SEC Proposes to Amend Rules Governing Administrative Proceedings

On September 24, 2015, the Securities and Exchange Commission (SEC) issued a press release announcing proposed amendments to its Rules of Practice governing administrative proceedings. The announcement comes at a critical...more

9/28/2015 - Administrative Hearings Administrative Proceedings Amended Regulation Appointments Clause Dodd-Frank Enforcement Actions SEC Securities Litigation Transparency

SEC’s OCIE Issues a Second Cybersecurity Risk Alert

On Sept. 15, 2015, the Securities Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) published its second cybersecurity risk alert (the “2015 Risk Alert”). The 2015 Risk Alert is a follow up to...more

9/23/2015 - Broker-Dealer Cybersecurity Industry Examinations Investment Adviser NIST OCIE Risk Alert SEC

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

5 Results
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.