Key Takeaways - Corporate enforcement and individual accountability are high priorities for new DOJ Criminal Division head Kenneth Polite. Companies should be proactive in implementing, monitoring, and improving their...more
The question of how to define the parameters of personal liability for compliance officers in the financial services industry has been around for several years. In a 2015 speech, then-SEC Enforcement Director Andrew Ceresney...more
On September 24, 2020, Superintendent Bennett Walsh and former Medical Director David Clinton of the Soldiers’ Home in Holyoke, Massachusetts (SHH) were indicted on criminal neglect charges in what Attorney General Maura...more
On June 1, 2020, the Criminal Division (the “Criminal Division”) of the Department of Justice (the “DOJ” or “Department”) issued revised guidance (the “June 2020 Guidance”) about how it will evaluate corporate compliance...more
On May 5, 2020, the Department of Justice (the “DOJ”) brought its first charges for defrauding the CARES Act Paycheck Protection Program (the “PPP”)....more
Last month, Congress passed the Coronavirus Aid, Relief, and Economic Security Act (“CARES Act”) in response to the economic crisis that has been created by the COVID-19 pandemic. The CARES Act established the Paycheck...more
Amid the COVID-19 pandemic, numerous state and local authorities are instituting protective orders to stop the spread of the coronavirus. Ohio Governor Mike DeWine, Lt. Governor Jon Husted, and Ohio Department of Health...more
It should come as no surprise that the federal and state response to the COVID-19 pandemic is touching upon all facets of life. This is no less true in the world of government enforcement....more
On Oct. 25, 2019, BakerHostetler’s Financial Services industry team, in collaboration with the Ohio Bankers League, held its third Financial Services Summit in Columbus, Ohio. The speakers included Ohio Senator Sherrod Brown...more
With more than 130 highly trained enforcement accountants at his disposal, Matthew Jacques, the Chief Accountant of the Securities and Exchange Commission (“SEC”), provided a firsthand glimpse into current enforcement...more
BakerHostetler invites you to join us for an upcoming webinar, State Attorneys General - Antitrust and White-Collar Investigations - What You Should Know, offering vital insights into antitrust issues and white-collar...more
10/16/2019
/ Antitrust Investigations ,
Antitrust Violations ,
Best Practices ,
Continuing Legal Education ,
Corporate Counsel ,
Criminal Investigations ,
Criminal Liability ,
Multistate Investigations ,
State Attorneys General ,
Webinars ,
White Collar Crimes
Welcome to the 2017 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
The purpose of this report is to provide a periodic survey of matters we believe to be of interest...more
Developments in Policy and Regulations, Enforcement, Technology and Litigation -
Financial services are constantly evolving as laws, regulations, technologies and policies change.
BakerHostetler and the Ohio Bankers...more
Both the United States Department of Justice (DOJ) and the United States Securities and Exchange Commission (SEC) have continued their focus on anticorruption enforcement in 2015. Although there was a decline in enforcement...more
4/20/2016
/ Corporate Fraud ,
Corruption ,
Criminal Prosecution ,
Deferred Prosecution Agreements ,
Department of Justice (DOJ) ,
Foreign Corrupt Practices Act (FCPA) ,
Government Investigations ,
Securities and Exchange Commission (SEC) ,
Self-Reporting ,
Settlement ,
White Collar Crimes ,
Yates Memorandum
Pursuing a classic “carrot and stick” approach to incentivizing corporate self-disclosure of FCPA violations and individual wrongdoing connected to FCPA violations, the Department of Justice (DOJ) Fraud Section announced a...more