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Corporate State of Mind in Securities Cases: The Sixth Circuit Blazes a New Trail

Analysis of the corporate mens rea is, by definition, contrived and one with which federal courts have struggled. Unlike instances where an individual is charged with securities fraud, determining the “thinking” or...more

10/17/2014 - Agents Corporate Crimes Omnicare PSLRA Scienter

Be Careful Where You Whistle While You Work: Courts Impose Limits on Dodd-Frank's Protection for FCPA Whistleblowers

The Dodd-Frank Wall Street Reform and Consumer Protection Act was heralded as providing whistle-blowing employees protection from retaliation by their employers. In Liu v. Siemens AG, handed down last week, the Second Circuit...more

8/21/2014 - Dodd-Frank Enforcement Enforcement Actions FCPA Popular Retaliation Siemens Whistleblower Protection Policies Whistleblowers

The British Are Coming: The Redcoats Get Serious About Prosecuting International White-Collar Crime

United States financial entities and their individual employees should be aware that a new sheriff is in town. Last week, the United Kingdom’s Serious Fraud Office (SFO) brought criminal charges against three American bankers...more

5/8/2014 - Banks Criminal Prosecution FCPA Financial Companies Interest Rates Libor UK

Destitute Before Proven Guilty: Supreme Court OKs Asset Seizure In White-Collar Cases That Bars Defendants' Ability to Retain...

The Supreme Court’s February 25 decision in Kaley v. United States creates a significant hurdle for white-collar defendants seeking to retain qualified counsel to defend against the government’s allegations. Ruling that...more

3/24/2014 - Right To Counsel SCOTUS White Collar Crimes

Extradition Italian Style: Knock, Knock, Knocking On Amanda Knox's Door

The ins-and-outs of extradition law increasingly are relevant as global commerce and international travel emerge as the norm, exposing citizens of one nation to the laws of other nations. ...more

2/5/2014 - Amanda Knox EU Extradition

First JPMorgan -- Now Rabobank Versus The United States: Taking One For The Team?

2013 marks the five-year anniversary of the financial crisis of 2008. I noted in January that this would play a significant role in white-collar enforcement and regulation in 2013, forcing the government either to act or to...more

10/30/2013 - Banking Crisis Deferred Prosecution Agreements Enforcement Actions JPMorgan Chase Statute of Limitations White Collar Crimes

What Happens Outside The USA, Stays Outside The USA: Reining In The Extraterritorial Reach Of Criminal Securities Laws

Criminal securities laws do not reach transactions that occur outside the United States. This is the conclusion of the Second Circuit Court of Appeals which last Friday applied the Supreme Court’s reasoning in Morrison v....more

9/3/2013 - Foreign Defendants Foreign Jurisdictions Jurisdiction SCOTUS

Not Your Average Asylum Seeker: Avoiding Extradition Snowden Style

Edward Snowden, the former technical contractor for the National Security Agency who caused quite a sensation by disclosing highly classified documents that reveal the existence and scope of the United States government’s...more

7/10/2013 - Asylum Confidential Documents Cybersecurity Edward Snowden Extradition Internet NSA Refugees United Nations

Rajaratnam Appeal: Is Snowden Right That Big Brother Is Listening?

On Monday, the Second Circuit Court of Appeals in Manhattan affirmed the 2011 insider trading conviction of Raj Rajaratnam, founder of the Galleon Group hedge funds....more

6/27/2013 - Edward Snowden Hedge Funds Insider Trading Raj Rajaratnam SEC White Collar Crimes

New Justice Department's FIRREA Cases Against Banks: Holding The Victim Responsible

The government’s ever-evolving response to the United States financial crisis has come full circle, as civil Justice Department Attorneys seek to rely on legislation enacted to protect financial institutions from fraud to sue...more

5/16/2013 - FIRREA Fraud Penalties

Twists, Turns, PIPEs, And Screws: Insider Trading And Mark Cuban

On Tuesday, March 5, the SEC’s insider trading case against billionaire Dallas Mavericks owner Mark Cuban took a new twist when a federal district court in Texas declined to end the 2008 civil enforcement action. The SEC...more

3/7/2013 - Insider Trading Mamma.com Inc Mark Cuban Misappropriation PIPEs SEC

Supreme Court in Gabelli: Clock Starts Ticking When Fraud Occurs, Not When It's Discovered

The law requires the SEC to bring enforcement actions seeking penalties against individuals who violate the securities laws within five years. The Supreme Court issued a unanimous ruling today that rejects the SEC’s argument...more

2/27/2013 - Discovery Rule Enforcement Actions Gabelli v SEC Penalties SCOTUS SEC Securities Fraud Statute of Limitations

White Collar Practice In 2013: An Old Look For A New Year?

2012 was a big year in the government's pursuit of white collar crime. 2013 – the five year anniversary of the financial crisis – brings new legislators, new regulators, and the possibility that a looming statute of...more

1/23/2013 - DOJ Enforcement Goldman Sachs Raj Rajaratnam SEC Statute of Limitations White Collar Crimes

The Government's War Against Financial Industry Crimes Continues with a Record-Breaking Insider Trading Case, But It's Still Too...

The Department of Justice and Securities Exchange Commission loudly have trumpeted victories achieved in their renewed battle against insider trading and Wall Street malfeasance, repeatedly warning that there are more cases...more

11/21/2012 - DOJ Hedge Funds Insider Trading SEC

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