Sigal Mandelker

Sigal Mandelker

Proskauer Rose LLP

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SEC Brings First Major Cyber Insider Trading Case Against International Hacking Ring

In an action that emphasizes the agency’s commitment to cybersecurity, the SEC recently charged 32 defendants with violations of the federal antifraud laws and corresponding SEC rules, stemming from an alleged $100 million...more

8/25/2015 - Conspiracies Cybersecurity Data Security Enforcement Actions Hackers Insider Trading Mary Jo White Popular SEC Securities Fraud

Scope of Attorney-Client Privilege And Work Product Doctrine In Internal Investigations Clarified

The scope of the attorney-client privilege and work product doctrine for internal investigation reports has once again been clarified by the D.C. Circuit in a False Claims Act case against defense contractor KBR, Inc. In its...more

8/25/2015 - Attorney-Client Privilege Discovery False Claims Act Federal Rules of Evidence Internal Investigations Rule 30(b)(6) Work Product Privilege Writ of Mandamus

Louis Berger International Pays $17 Million Penalty for FCPA Violation

On July 17, 2015, Louis Berger International, Inc., a New Jersey-based construction management company, entered into a deferred prosecution agreement (DPA) with the Department of Justice under which it agreed to pay a $17.1...more

7/20/2015 - Bribery Compliance Construction Contracts Cooperation Corporate Counsel Deferred Prosecution Agreements DOJ Due Diligence FCPA Guilty Pleas India Indonesia Internal Controls Kuwait Paying Bribes Penalties Popular Third-Party Agents Vietnam

DOJ Breaks its Silence in 2015 FCPA Enforcement

Last week, the DOJ announced its first corporate enforcement action under the Foreign Corrupt Practice Act (“FCPA”) for 2015. IAP World Services, Inc., a Florida-based defense and government contractor, agreed to pay $7.1...more

6/29/2015 - Chief Compliance Officers Compliance Defense Sector DOJ Enforcement Actions FCPA Federal Contractors Non-Prosecution Agreements

U.S. Supreme Court Rejects Indefinite Tolling of False Claims Act under Wartime Suspension of Limitations Act; Holds First-to-File...

Yesterday, in Kellogg Brown & Root Services, Inc., et al. v. United States ex rel. Carter, 575 U.S. __ (2015), the Supreme Court settled two important questions under the False Claims Act (the FCA). In a unanimous decision...more

5/27/2015 - Corporate Counsel False Claims Act Federal Contractors First-to-File KBR (formerly Kellogg Brown & Root) SCOTUS Statute of Limitations Tolling WSLA

Texas Supreme Court: Companies Shielded from Defamation Claims for Statements in Internal Investigation Reports

Last week, the Texas Supreme Court joined the majority of jurisdictions in holding that a company enjoys an absolute privilege when providing the Department of Justice (DOJ) with an internal investigation report containing...more

5/25/2015 - Absolute Privilege Defamation DOJ Enforcement FCPA Hiring & Firing Internal Investigations Qualified Privilege Shell Oil Termination Wrongful Termination

Head Of Criminal Division Speaks On Corporate Cooperation

Leslie Caldwell, head of the Justice Department’s Criminal Division, is, in her own words, “pounding the pavement on cooperation and transparency.” Speaking on Tuesday at the New York City Bar’s fourth annual White Collar...more

5/18/2015 - Cooperation DOJ Government Investigations

SEC Awards Compliance Officer Whistleblower Bounty of Approximately $1.5 Million

Wednesday, the SEC announced that it would pay an unidentified compliance officer a whistleblower bounty award of between $1.4 and $1.6 million. This is the second award that the SEC has made to a whistleblower with internal...more

4/23/2015 - Chief Compliance Officers Corporate Counsel Enforcement Actions Internal Audit Functions SEC Whistleblower Awards Whistleblowers

Cyber Security Regulations Ahead Says New York State’s Dept. of Financial Services

Based on a report released last week about cyber security vulnerabilities faced by financial institutions, New York State Department of Financial Services (“NYDFS”) Superintendent Benjamin Lawsky signaled that the agency will...more

4/20/2015

SEC Charges Ex-CEO with Concealing Personal Use of Corporate Funds from Investors, Settles with Corporation

Signaling that it is closely scrutinizing the expenses of senior executives and the internal controls of public companies, the Securities and Exchange Commission charged former Polycom CEO Andrew M. Miller this week with...more

4/6/2015 - C-Suite Executives Enforcement Actions Falsified Documents Internal Controls Material Misstatements Misappropriation SEC

Second Circuit Denies DOJ’s Request for En Banc Review of Newman; Leaves Landmark Insider Trading Decision in Place

The Second Circuit today denied the request by the U.S. Attorney’s office for the Southern District of New York for panel or en banc rehearing of the landmark U.S. v. Newman decision, which overturned insider-trading...more

4/6/2015 - DOJ Fund Managers Hedge Funds Illegal Tipping Insider Trading Personal Benefit Petition For Rehearing US v Newman

New DOJ Policy on Asset Forfeiture in Structuring Offenses

In an effort to lessen the risk that businesses and individuals performing legitimate financial transactions will have funds frozen through a prosecutor’s use of forfeiture laws, on March 31, Attorney General Eric Holder...more

4/6/2015 - DOJ Eric Holder Forfeiture Frozen Assets New Guidance

Goodyear Pays for the Sins of its Subsidiaries in a $16 Million FCPA Settlement

Following recent trends, the U.S. Securities and Exchange Commission brought an administrative proceeding against a U.S. issuer for the corrupt activities of its foreign subsidiaries. Earlier this week, Goodyear Tire & Rubber...more

3/2/2015 - Bribery Corporate Counsel Enforcement Actions FCPA Foreign Subsidiaries Goodyear SEC

Department Of Justice Emphasizes Expectation That Corporations Cooperate In The Prosecution Of Company Executives

The Justice Department continues to send the strong signal that it is looking to charge senior executives of companies. At a conference this week in London, senior Justice Department official Deputy Assistant Attorney General...more

1/23/2015 - C-Suite Executives Criminal Prosecution DOJ

DOJ Announces First FCPA Enforcement Action of 2015

Last week, the Department of Justice announced the first Foreign Corrupt Practices Act enforcement action of 2015, against Dmitrij Harder, the former owner and president of the Chestnut Consulting Group. The allegations are...more

1/13/2015 - Banking Sector Bribery Corporate Counsel DOJ Enforcement Actions EU FCPA Oil & Gas Project Finance

Alstom to Pay Largest FCPA Criminal Penalty in History

Earlier this week, Alstom S.A., a French multinational power and transportation company, pleaded guilty in the District of Connecticut to a two-count information charging it with violating the accounting provisions of the...more

12/29/2014 - Alstom Corporate Criminal Fines Criminal Prosecution Deferred Prosecution Agreements Enforcement Actions FCPA Subsidiaries

DOJ Releases Second FCPA Opinion of 2014

The U.S. Department of Justice recently publicized its second Foreign Corrupt Practices Act Opinion Procedure Release of 2014. In the Release, the DOJ reiterated that an acquiring company may not inherit FCPA liability when...more

12/5/2014 - Acquisitions Anti-Corruption DOJ Due Diligence FCPA Mergers Successor Liability

DOJ Announces Record Year of Over $5 billion in False Claims Act Recoveries

2014 was a banner year for federal recoveries under the False Claims Act (“FCA”). In a press release dated November 20, 2014, the DOJ announced that its total recoveries – including those from both settlements and judgments –...more

11/26/2014 - Affordable Care Act DOJ False Claims Act Mortgage Fraud Qui Tam

AAG Caldwell Provides Guidance on Adequate Compliance Programs

Recently confirmed Assistant Attorney General of the U.S. Department of Justice Criminal Division, Leslie Caldwell, has laid out her views as to what comprises the “hallmarks of good compliance programs.” In her new position,...more

10/7/2014 - Attorney Generals Compliance Ethics Government Investigations

Proskauer Obtains Dismissal of High-Stakes False Claims Act Suit

On August 7, 2014, Judge Castel of the Southern District of New York dismissed a False Claims Act (“FCA”) complaint that was based primarily on allegations that the defendant Hospital improperly focused on referral revenue in...more

8/14/2014 - False Claims Act Fraud Healthcare Healthcare Fraud Hospitals Physicians

Supreme Court Holds That Criminal Defendants Challenging Pre-Trial Asset Seizure Cannot Contest a Grand Jury’s Determination of...

On February 25, 2014, in Kaley v. United States, the U.S. Supreme Court held 6-3 that criminal defendants challenging the legality of a §853(e)(1) pre-trial asset seizure may not contest a grand jury's determination of...more

3/4/2014 - Criminal Prosecution Frozen Assets Grand Juries Kaley v. United States Probable Cause SCOTUS Sixth Amendment

Private Fund Managers Be Aware: FCPA Enforcement Is Coming Your Way

The increased globalization of the private investment industry has given rise to an enhanced focus by U.S. prosecutors and regulators on rooting out corrupt business activities in private equity firms and hedge funds. As...more

2/13/2014 - Compliance Enforcement Actions FCPA Fund Managers

U.S. Senate Unanimously Passes Antitrust Whistleblower Protection Bill

On November 4th, the Senate voted unanimously to expand whistleblower protections in criminal antitrust cases by passing the Criminal Antitrust Anti-Retaliation Act (CAARA). This bill provides whistleblower protections to...more

11/8/2013 - Anti-Retaliation Provisions Antitrust Provisions Whistleblower Protection Policies Whistleblowers

SEC Enforcement Official Recommends That Firms Showcase Their Compliance Programs

Stephen Cohen, Associate Director in the Securities and Exchange Commission’s (SEC) Enforcement Division, recently advised companies being investigated to flaunt their compliance programs to the agency, according to an...more

9/24/2013 - Compliance Enforcement SEC

DOJ Recovers Up To $48 Million in False Claim Act Case Resulting From Whistleblower Report

In yet another large recovery for the DOJ, on December 6, 2012, DFB Pharmaceuticals, and its subsidiary, Healthpoint Ltd., agreed as part of a settlement to pay up to $48 million to resolve allegations that Healthpoint caused...more

1/24/2013 - DOJ False Claims Act Medicaid Medicare Pharmaceutical Qui Tam Whistleblowers

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