Thomas Sporkin

Thomas Sporkin

BuckleySandler LLP

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Latest Publications


BNA Insights: Regulation Crowdfunding and Small Businesses: A Match Made in SEC-Regulated Heaven?

The Dawn of a New Era in Capital Formation - The need for crowdfunding regulation became apparent after the Securities and Exchange Commission issued a cease and desist order to stop a crowdfunding effort by two men...more

5/2/2016 - Capital Raising Crowdfunding Financing JOBS Act Regulation A Regulation D SEC Small Business Startups

Infobytes Special Alert: FinCEN Publishes Long - Awaited Proposed Customer Due Diligence Requirements

On August 4, 2014, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) published a Notice of Proposed Rulemaking ("NPRM") that would amend existing Bank Secrecy Act (“BSA”) regulations...more

9/9/2014 - Bank Secrecy Act Beneficial Owner CDD Covered Financial Institutions FinCEN NPRM Rulemaking Process U.S. Treasury

The Board of Directors and Cybersecurity: Setting up the Right Structure

Security breaches have become a staple of the daily news. A national restaurant chain announced in August 2014, that a payment card processing system breach involved 33 restaurants in 18 states and that the incident lasted...more

8/27/2014 - Board of Directors Cybersecurity Data Breach Data Protection Hackers Popular

Banker Beware: EB-5 Programs Can Be Fraught With Peril

The EB-5 visa, created by Section 203(b)(5) of the United State's (U.S.) Immigration Act of 1990, was established to attract foreign capital and create U.S. jobs by providing a method of obtaining a Green Card for foreign...more

3/24/2014 - EB-5 Green Cards Immigrants Visas

SEC Cooperation Is Still More Art Than Science

The quest for individual cooperation credit from the U.S. Securities and Exchange Commission is more of an art than a science, involving outcomes based largely on subjective judgments and a process that resists definition and...more

1/24/2014 - Compliance Corporate Counsel Enforcement Actions Investigations Mary Jo White SEC White Collar Crimes

Will Rakoff Opinion Impact Decision on Steven Cohen?

A recent opinion of U.S. District Judge Jed Rakoff considering remote tippee liability may be influencing some government charging decisions. Judge Rakoff's November 14, 2012 opinion addressed what prosecutors must show about...more

12/5/2012 - Hedge Funds Insider Trading SEC

Crowdfunding Offers Attractive Financing Alternative, But SEC Must Give More Clarity

Crowdfunding emerged in 2005, allowing enterpreneurs to solicit capital from anyone with internet access. The model has since exploded, but not without some obstacles. Because some types of crowdfunding promise or offer a...more

8/21/2012 - Crowdfunding JOBS Act SEC

Seven Steps Companies Can Take to Incentivize Internal Reporting of FCPA Violations

The SEC's whistleblower rules award company whistleblowers a percentage of the penalty paid to the SEC based on information received from the whistleblower. In this article, first published in The FCPA Report in July 2012,...more


Minimizing Missteps When Interfacing with SEC Staff

How defense counsel interact with SEC Enforcement staff can have significant consequences for their clients. Mismanaged interactions have the potential for making matters worse, with outsized consequences for the reputations...more


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