Our Finance and White Collar, Government & Internal Investigations Groups examine an Alabama federal court’s ruling that the Corporate Transparency Act (CTA) is unconstitutional....more
On September 29, 2023, the U.S. Securities and Exchange Commission (SEC) announced enforcement actions against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment...more
Recent pronouncements and enforcement activity by the U.S. Department of Justice (DOJ) and U.S. Securities and Exchange Commission (SEC) reflect a singular agency focus on the importance of clawing back incentive compensation...more
Federal enforcement agencies continue to scrutinize investment advisers’ use of personal devices and messaging platforms to conduct business. Our team reviews how recent penalties should encourage companies to create internal...more
The Second Circuit has made the government’s formerly straightforward task of assigning vicarious liability to a corporate principal under the Foreign Corrupt Practices Act considerably harder. Our White Collar, Government &...more
Our White Collar, Government & Internal Investigations and Securities Litigation Groups review a jaw-dropping bounty that shines further light on how far the Biden Administration will go to leverage insiders to bring...more
On August 27, 2021, the Securities and Exchange Commission (SEC) announced that it will be paying a collective award of over $1 million to three whistleblowers who provided information leading to a successful enforcement...more
Indicating a shift in philosophy, the DOJ will be looking closely at the benefits and costs of imposing a monitor in criminal cases. Our Government & Internal Investigations Team considers the implications in tandem with...more
Our Government & Internal Investigations Team discusses the implications of the Justice Department’s decision to extend its FCPA Corporate Enforcement Policy to M&A transactions and how acquiring and successor corporations...more
A federal court has extended the fence the U.S. Supreme Court put around the Securities and Exchange Commission. Our Government & Internal Investigations and Securities Litigation Groups examine the ruling and how it could...more
Our Securities Litigation Group reviews the Securities and Exchange Commission Division of Enforcement’s new self-reporting initiative and debates the wisdom of investment advisers admitting their conflicts of interest.
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