R. Daniel O'Connor

R. Daniel O'Connor

Ropes & Gray LLP

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SEC Announces a Maximum Whistleblower Award to an Employee Who Faced Employment Retaliation as a Consequence of Reporting...

In June of last year, Paradigm Capital Management agreed to pay the SEC nearly $2 million to settle allegations that it violated the Dodd-Frank Act’s conflict-of-interest rules and unlawfully retaliated against the...more

5/4/2015 - Conflicts of Interest Dodd-Frank Enforcement Actions Investment Management Retaliation SEC Whistleblower Awards Whistleblowers

SEC Announces Dodd-Frank Whistleblower Award for Compliance Professional

On Wednesday, April 22nd, the Securities and Exchange Commission announced that it had awarded approximately $1.5 million to a whistleblower who had served as a compliance officer of the company about which he blew the...more

4/25/2015 - Compliance Dodd-Frank Investors Popular Rule 21F SEC Whistleblower Awards

SEC Brings First Action Against a Private Equity Fund Adviser for Misallocation of Portfolio Company Expenses

On September 22, 2014, the Securities and Exchange Commission (“SEC”) charged private equity fund adviser Lincolnshire Management, Inc. (“Lincolnshire”) with breaching its fiduciary duty to two of its private equity funds by...more

9/24/2014 - Enforcement Enforcement Actions Investment Adviser Misallocation of Funds Private Equity SEC

SEC Charges Corporate Officers with Fraud Arising from Failure to Disclose Internal Controls Issues and Alleged Misrepresentations...

On July 30, 2014, the Securities and Exchange Commission (“SEC”) advanced a novel theory of fraud against the former CEO (Marc Sherman) and CFO (Edward Cummings) of Quality Services Group, Inc. (“QSGI”), a Florida-based...more

8/5/2014 - Accounting Controls Audits Commercial Bankruptcy Corporate Counsel Corporate Officers Form 10-K Internal Audit Functions Internal Controls Investors Material Disclosures Neither Admit Nor Deny Settlements Sarbanes-Oxley SEC Securities Securities Fraud Settlement

U.S. Administrative Law Judge Suspends Chinese Affiliates of “Big Four” Accounting Firms

In a surprising turn in the long-running and widely reported dispute between the Securities and Exchange Commission (“SEC”) and the Chinese affiliates of the “Big Four” accounting firms, on January 22, 2014, a U.S....more

1/24/2014 - Accounting Audits China Compliance Enforcement Actions Foreign Affiliates Investigations SEC

Chinese Securities Regulator Announces Plans to Produce Documents in Ongoing “Big Four” Accounting Firm SEC Enforcement Action

According to a public statement issued by the China Securities Regulatory Commission (“CSRC”) on July 9, 2013, China’s securities regulator is preparing to hand over the audit documents of a U.S.-listed Chinese company to the...more

7/12/2013

SEC’s Cross-Border Working Group Continues to Target China-Based Issuers

Introduction - A pair of recent enforcement actions brought by the U.S. Securities and Exchange Commission (the “SEC”) reflect the SEC’s continued focus on China-based issuers listed in the U.S. In the most recent case...more

6/27/2013 - China Cross-Border Enforcement Actions Fraud Investors IPO Misrepresentation SEC

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