Richard Owens

Richard Owens

Latham & Watkins LLP

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The Circuits Are Split: Are Tangible Benefits Required for Insider Trading Liability?

The Ninth Circuit’s recent decision calls into question the Second Circuit’s definition of “personal benefit” for insider trading liability in criminal prosecutions. On July 6, 2015, United States District Court Judge...more

7/13/2015 - Broker-Dealer Enforcement Actions Hedge Funds Illegal Tipping Insider Trading Judge Rakoff Material Nonpublic Information Personal Benefit Popular SEC US v Newman

Expanding FIRREA Liability for Financial Institutions: Recent Second Circuit Developments

In a brief — and swiftly decided — per curiam decision issued June 4, 2015, the US Court of Appeals for the Second Circuit affirmed the wire fraud and wire fraud conspiracy convictions of three former UBS Financial Services,...more

6/16/2015 - Appeals Banking Sector Criminal Conspiracy Criminal Prosecution DOJ Enforcement Actions Financial Institutions FIRREA Statute of Limitations Wire Fraud

Second Circuit Redefines “Personal Benefit” in Insider Trading Case

Breaking from precedent, the Second Circuit sets a new standard for the personal benefit element of insider trader liability. On December 10, 2014, the United States Court of Appeals for the Second Circuit reversed...more

12/15/2014 - Dell Hedge Funds Illegal Tipping Insider Trading Material Nonpublic Information Nvidia Personal Benefit Portfolio Managers Rule 10b-5 Securities Securities Fraud US v Newman

What To Do When You Are Served With a Search Warrant

In recent years, state and federal law enforcement agencies continue to increase their investigation and prosecution of white collar crime, particularly relating to the securities and healthcare industries. The search warrant...more

12/17/2013 - Attorney-Client Privilege Books & Records Consent Employee Rights Miranda Warnings Privilege Waivers Search & Seizure Search Warrant Self-Incrimination Waivers

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