Stephen Knaster

Stephen Knaster

Orrick, Herrington & Sutcliffe LLP

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Pro-Golfer Phil Mickelson Pays $1M to SEC to Settle Civil Insider Trading Claims, But Escapes Criminal Charges in Light of Newman

On Thursday, May 19, 2016, the U.S. Attorney’s Office for the Southern District of New York announced the arrest of renowned sports bettor William “Billy” T. Walters on an alleged years-long insider trading scheme conducted...more

5/26/2016 - Criminal Conspiracy Gambling Golf Illegal Tipping Indictments Insider Trading Personal Benefit Popular SEC Securities Fraud Stock Trades US v Newman Wire Fraud

SEC Announces Settlement with State Street – and a Suit Against a Big Law Partner – for Pay-to-Play Scheme

On January 14, 2016, the SEC entered into two no-admit, no deny settlements regarding an alleged pay-to-play scheme to obtain contracts from the Treasury Office for the State of Ohio. The first was with State Street Bank and...more

1/26/2016 - Banking Sector Campaign Contributions Lobbyists Pay-To-Play SEC Settlement Agreements

D.C. Circuit to Re-Consider Whether SEC Disclosure Rule Aimed at Curbing Human Rights Abuses in the Democratic Republic of the...

In an interesting and uncommon intersection between securities law, curbing human rights abuses and freedom of speech under the First Amendment, the United States Court of Appeals for the District of Columbia recently agreed...more

11/26/2014 - American Meat Institute Amnesty International Appeals Conflict Mineral Rules Department of Agriculture Disclosure Requirements En Banc Review First Amendment Human Rights NAM Petition For Rehearing SEC

Extra, Extra! – Extraterritoriality And Criminal Actions As To Alleged Securities Fraud

In its seminal decision in Morrison v. National Australia Bank Ltd., 130 S. Ct. 2869 (2010), regarding antifraud provisions of the U.S. securities laws, the Supreme Court held that “Section 10(b) [of the Securities Exchange...more

9/11/2013 - Dodd-Frank Extraterritoriality Rules SEC Securities Exchange Act Securities Fraud Stocks

SEC Considering More Stringent Requirements For Cybersecurity Disclosures In The Wake Of Stock Manipulating Hacking Case

Following up on clues earlier this year that the SEC may increase its scrutiny of cybersecurity disclosures, SEC Chairman Mary Jo White has asked the Commission to evaluate current guidance for cybersecurity disclosures and...more

5/21/2013 - Cybersecurity Disclosure Requirements Hackers Mary Jo White SEC Stocks

The SEC Wants To Know About Your Whistleblower Policy

SEC Regional Office Director David Bergers recently emphasized the importance of a company’s whistleblower policy when deciding whether to file an enforcement action against a company. Bergers made his comments at an internal...more

12/19/2012 - Enforcement Actions SEC Whistleblower Protection Policies Whistleblowers

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