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SEC FCPA DOJ Insider Trading Enforcement Actions Compliance Criminal Prosecution Securities Fraud Enforcement Bribery US v Newman Personal Benefit Fraud Illegal Tipping Anti-Corruption SCOTUS UK Popular White Collar Crimes Securities Deferred Prosecution Agreements FCPA Resource Guide Material Nonpublic Information CFTC US v Salman Hedge Funds Dirks v SEC Financial Conduct Authority (FCA) Chief Compliance Officers Whistleblowers China FINRA Settlement Corruption Dodd-Frank EU Misappropriation Tippees Securities Exchange Act Tippers Broker-Dealer Internal Investigations Confidential Information Indictments Investment Adviser Non-Prosecution Agreements Banks Libor Ponzi Scheme Market Manipulation Money Laundering Wire Fraud Portfolio Managers Anti-Money Laundering Corporate Counsel Anti-Bribery Criminal Conspiracy Foreign Official Securities Litigation Personal Liability Serious Fraud Office Audits Disgorgement Investigations Investment Funds Australia Due Diligence FinCEN UK Bribery Act Yates Memorandum Appeals Internal Controls Mary Jo White Price Manipulation Rule 10b-5 Securities Violations Spoofing C-Suite Executives Conflicts of Interest Government Investigations Hong Kong Banking Sector Convictions Ethics Self-Reporting Bank Secrecy Act Fiduciary Duty Penalties Cooperation Offering Fraud Risk Assessment Breach of Duty Civil Monetary Penalty Corporate Executives Criminal Convictions FBI Federal Sentencing Guidelines Financial Institutions JPMorgan Chase Pharmaceutical Industry Reporting Requirements Risk Management Canada Guilty Pleas High Frequency Trading Misrepresentation OFAC Securities Act of 1933 Class Action Corporate Governance Corporate Officers Cybersecurity Fines PCAOB Sanctions Sentencing Statute of Limitations Virtual Currency Voluntary Disclosure Bitcoin Conspiracies European Securities and Markets Authority (ESMA) Extraterritoriality Rules False Claims Act (FCA) Oil & Gas SFO Swaps Administrative Hearings Bernie Madoff Board of Directors Books & Records Brazil Corporate Crimes Dell False Statements Federal Pilot Programs Forfeiture Goldman Sachs Hackers Judge Rakoff Morgan Stanley Ralph Lauren Strategic Enforcement Plan Brokers Deutsche Bank Employer Liability Issues Evidence Federal Reserve Financial Markets Foreign Banks Individual Accountability Jurisdiction Kickbacks Nvidia OECD Personal Jurisdiction RMBS Sarbanes-Oxley Section 10(b) Shareholders Subsidiaries Unregistered Securities Attorney-Client Privilege Avon Bank Fraud Bank of America Barclays Cross-Border Foreign Nationals Investors Mail Fraud Mortgage-Backed Securities Mortgages Petition For Rehearing Pump and Dump Raj Rajaratnam Remediation RICO Siemens Tax Evasion U.S. Treasury Whistleblower Awards Acquisitions Arbitration Citigroup Dark Pool Foreign Subsidiaries GlaxoSmithKline Municipal Bonds Neither Admit Nor Deny Settlements Non-Public Information OCC Russia Security-Based Swaps Stocks Suspicious Activity Reports (SARs) Wal-Mart BIS CME Collateralized Debt Obligations Commodities Exchange Act Corporate Misconduct Data Breach Declination Disclosure Requirements Disruptive Trading Practices EB-5 Eli Lilly Export Controls FDIC Fifth Amendment Financial Regulatory Reform Fund Managers IRS Japan JOBS Act Medical Devices Mergers Minimum Contacts Obstruction of Justice Professional Liability Red Notices SAC Capital UBS Unregistered Brokers Whistleblower Protection Policies Admissions Algorithmic Trading Alstom Anti-Retaliation Provisions Asset Management Attorney's Fees Bank of New York (BNY) Mellon Best Management Practices CEOs Certiorari Commodities Corporate Fraud CPO Criminal Penalties Criminal Sanctions Crowdfunding D&O Insurance Dismissals Email Extradition FATCA Financial Services Authority FIRREA Forex FSMA Futures Government Officials Investment Advisers Act of 1940 Market Abuse Meals-Gifts-and Entertainment Rules Mens Rea NFA Petrobras Private Equity Proposed Legislation Recordkeeping Requirements Short Sales Tender Offers Terrorism Funding Training Volcker Rule Acquittals Akamai Technologies Capital Markets Cease and Desist Orders CFPB CFPOA Charitable Donations Clawbacks Conflict Mineral Rules Criminal Investigations Custody Rule Customs Cyber Attacks Department of Financial Services Derivatives Directors En Banc Review Federal Contractors Federal Prosecutors Foreign Exchanges Foreign Jurisdictions FTC Hewlett-Packard HSBC Investment Fraud Investment Management Iran Sanctions Jury Verdicts Martoma Material Misstatements Mexico Multinationals Ontario Securities Commission (OSC) Patents Permanent Injunctions Petition for Writ of Certiorari Prudential Regulation Authority Public Officials Qualcomm Rajat Gupta RBS Regulatory Agenda Restitution Risk Mitigation Rule 10(b) SDN List Shell Corporations Sherman Act Stress Tests Third-Party Third-Party Risk Ukraine Venezuela Wiretapping Administrative Proceedings Aerospace Aiding and Abetting ALJ Allianz Asset Freeze Attorney Generals Australian Securities and Investments Commission Bank Holding Company Basel Committee Benchmark Pricing BHP Billiton BlackRock Broken Windows Capital Gains Civil Forfeiture Commercial Bankruptcy Commodity Pool Corporate Criminal Fines Corporate Culture Corporate Gifts Credit Suisse Criminal Liability Currency Transaction Reports (CTR) Customer Due Diligence (CDD) Customer Identification Program (CIP) Damages Data Security Derivative Suit DHS eBay EMIR Ernst & Young Exports Facilitation Payments FCPA Guidance FHFA Financial Crimes Financial Crisis Financial Statements Foreign Corporations Form 10-K Fraud-on-the-Market Frozen Assets FTAIA Gabelli v SEC GAO Germany Goodyear Healthcare Hong Kong Securities and Futures Commission (HKSFC) Income Taxes Indemnification India Instrumentality IPO Janus Capital Group KPMG Kuwait Magyar Telekom Mandatory Victim's Restitution Act Martin Shkreli Memorandum of Understanding Mining Morrison v National Australia Bank Municipal Securities Market No-Action Relief Novartis OCIE Patent Infringement Patriot Act Penny Stocks Prejudgment Interest Proposed Amendments Proposed Regulation Public Comment Publicly-Traded Companies Pyramid Schemes Quid Pro Quo Rating Agencies Registered Investment Advisors Registration Registration Statement Regulation SHO Regulatory Standards Retailers Rolls-Royce Scienter SEC v Straub Shareholder Litigation State-Owned Enterprises Stock Trades Subpoenas Swap Dealers Telecommunications Teva Pharmaceuticals Third-Party Service Provider Trade Market Abuse Trade Secrets Trademarks Transparency Trust Preferred Securities Trustees Twitter U.S. Commerce Department UK Brexit US v Yates Visas Waivers Wells Fargo Willful Misconduct Work Product Privilege Young Lawyers 10b5-1 Plans Accounting Accounting Fraud Africa Aircraft Sales Airlines Alien Tort Statute Anonymity Antitrust Investigations Apple Argentina Arms Export Control Act Asia Athletes Auditors Automotive Industry Bad Actors BaFin Bank Holding Company Act Banking Crisis Barack Obama Beneficial Owner Bid Rigging Bids Big Law Bio-Rad Laboratories Biofuel BizJet Block Trades Bonds BSA/AML Burden of Proof Business Continuity Plans Bylaws Capital Requirements Cease and Desist Certifications CFOs Cherry Picking Code of Conduct Commodity Futures Contracts Consent Order Cooperation Initiative Corporate Fines Corporate Investigations Corporate Liability Corporate Social Responsibility Covered Financial Institutions Credit Ratings Criminal Defense Criminal Records Cross-Border Transactions CTA Currency Exchange Cyber Crimes Cyber Threats Data Collection Data Privacy Data Protection Delaware General Corporation Law Derivatives Clearing Organizations Destruction of Evidence Direct Access Partners Disciplinary Proceedings Discovery DOL Due Process Economic Sanctions Eighth Amendment Electronic Blue Sheets Energy Market Energy Sector Eric Holder ERISA EU Market Abuse Regulation (EU MAR) European Banking Authority European Commission Excessive Fees Exchange-Traded Products Expert Testimony Extortion Failure To Disclose False Advertising FATF FCMs FDA Fee-Shifting FERC Filing Requirements Final Rules Financial Instruments Financial Services Industry Flash Crash FLIR System Foreign Defendants Foreign Investment Fourth Amendment France FSIA Gambling General Electric Gun Laws Habeas Corpus Halliburton Hiring & Firing Hitachi Hobbs Act Hong Kong Stock Exchange Hospitality Industry Hospitals IBM Identity Theft Illegal Imports Immigrants Industry Examinations Information Sharing Injunctions Inspections Insurance Industry Intent International Litigation International Organization for Standardization Internet Service Providers (ISPs) Interstate Commerce Investment Banks Investment Companies Investment Firms Investor Protection ISS ITAR Joint Venture Jury Instructions Jury Trial Justice Scalia Lanham Act Latin America Legal Entities Lehman Brothers Liquidity Liquidity Coverage Ratio Litigation Fees & Costs Loans Lying Malware Manufacturers Margin Calls Mark Cuban Market Participants McDonnell v US Medicaid Medicare Member State Merrill Lynch MiFID II Money Services Business Mortgage Lenders Motion to Dismiss Mutual Funds Nasdaq New Legislation New Regulations No-Action Letters Nortek NPRM Nu Skin NYSE Offshore Drilling Olympics Omnicare Omnicare v Laborers District Council Oppenheimer & Co. Pay-To-Play Physicians Political Intelligence Press Releases Price-Fixing Private Funds Private Placements Professional Misconduct Profits Public Disclosure Qui Tam Recidivism REIT Remedies REMIT Residential Capital LLC Reversal Risk-Based Approaches Royal Bank of Scotland Rule 506 Offerings S&P Scams Sealed Records SEC v Payton SEC v Sharef Section 10(b)-5 Securities Act Selective Waivers Self-Dealing Self-Disclosure Requirements Settlement Agreements Shaw v United States Silk Road South Africa South Korea Split of Authority Sports State Farm Fire and Casualty Co v United States ex rel Rigsby Steve Cohen STOCK Act Stock Promoters Stop Order Subprime Mortgages Successor Liability Summary Judgment Supervision Supply Chain Swap Data Repositories Tax Deductions Tax Fraud Tax Refunds Theft Too Big to Fail Trans-Pacific Partnership Travel Act Underwriting United Nations Upjohn Warnings Vacated VimpelCom Wall Street Warrantless Searches WKSIs Absolute Privilege Abuse of Power Accomplice Liability Accounting Controls Actual or Constructive Knowledge Administrative Authority Administrative Procedure Act Administrative Resignation Advancement Advertising Agency Deference Agents Aggregation Rules AIFMD AIM Airbus Aircraft Equipment Airports Alcoa Aleynikov Ally Financial Inc Amended Regulation America Invents Act AML-CTF Analytics Anheuser-Busch Annual Assessments Annuities Annunzio-Wylie Anti-Money Laundering Act Anti-Dumping Duty Anti-Terrorism Financing Antiterrorism Act Antitrust Division Antitrust Litigation Apple v Samsung Appointments Clause Apportionment Article III Article of Manufacture Artificial Impairment Asia Pacific Asset Valuations AstraZeneca Attorney Malpractice Audit Committee Auditor Independence Auto Body Shop Auto Insurance Auto Manufacturers Automotive Loans Aviation Industry B&B Hardware v Hargis Industries Balance Sheets Bangladesh Bank Fraud Act Bank of England BATS Exchange Benchmarking Benchmarks Billable Hours Billing Biotechnology BitLicense BNP Paribas Boeing BP Breach of Contract Breach of Trust Bristol-Myers Squibb Broker Commissions Brokered Deposits BRRD Bruker Building Permits Business Development BVI Business Companies Calculation of Damages Campbell Ewald v Gomez Capital Formation Capital Losses Capital One Cartels Casey Anthony Causation CBOE CEA Cell Phones Censorship CFDA Chamber of Commerce Chapter 7 Charles Schwab Chevron Deference Choke Point Churning CIP Cisco Citibank Civil Investigation Demand Claim Construction Claim Denial Letters Class Certification Clean Companies Act Clear Error Standard Clearing Members Clinical Laboratories Cobalt College Athletes Collusion Color of Right Columbia Comment Period Commerzbank Common-Interest Privilege Community Reinvestment Act Competition Complex Litigation Compliance Costs Conditional Gifts Confidential Documents Conflicts of Laws Congressional Committees Congressional Intent Congressional Investigations & Hearings Consideration Constitutional Challenges Construction Industry Consultants Consultation Consumer Lenders Consumer Watchdog Contract Drafting Contractors Controlled Foreign Corporations Cooperation Agreement COOs Copyright Copyright Alert System Corporate Financing Corporate Integrity Agreement Corporate Issuers Corporate Taxes Corporate Veil Cost Allocation Costco Counter-Terrorist Counterparties Countervailing Duties Countrywide Cramdown CRD IV Directive Crime Victims Criminal Antitrust Litigation Criminal Procedure Criminalization Crisis Management CSRC Cuba Customer Funds Protection Customs and Border Protection Cyber Incident Reporting Cyberforensics DACA DaimlerAG Dallas Airmotive De Minimis Claims De Novo Standard of Review Deadlines Debt Financing Debt Securities Defense Contracts Defense Strategies Deloitte Demand Futility Deposit Advances Depositions Design Patent Diebold Inc Dietz v Bouldin Digital Assets DirecTV v Imburgia Disclosure Discovery Rule Discussion Draft Dispute Resolution Disqualification Distribution Rules Distributors Dividends Divorce DMO Document Productions Documentation Double Jeopardy DPA Duncan v Owens E-Commerce EB-5 Regional Centers EBA Economic Espionage Act EDGAR EEA EFRP EFTs Egypt Election Results Electronics Elizabeth Warren Emissions Trading System Employee Training Employer Group Health Plans End-Users Energy Energy Exploration Energy Policy Energy Projects Enforcement Authority Enron Entergy Environmental Crimes EPA Equal Protection Equity Markets Ericsson EURIBOR Examiners Executive Compensation Executive Orders Exemptions Expedia Extensions Exxon Mobil Facebook Fair Lending Falsified Documents Fannie Mae Fantasy Sports FATCA Timeline Federal Arbitration Act Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 Federal Election Commission (FEC) Federal Jurisdiction Federal Rules of Civil Procedure Federal Rules of Evidence Federal v State Law Application Feeder Funds Fees FIFA Financial Products Financial Reporting Financial Restatements Financial Sector Financial Services Act FINRA Hearing Panel Firearms First Amendment First Derivative Traders Fishing Industry Fixing America’s Surface Transportation Act (FAST Act) FOIA Fokker Football Forced Labor Foreclosure Foreign Affiliates Foreign Currency Foreign Direct Investment Foreign Financial Accounts Foreign Narcotics Kingpin Sanctions Forfeiture Statutes Forgery Form 8-K Form SD Former Directors Former Employee Forum Non Conveniens Forum Selection Forum Selection Clause Fraudulent Charges Fraudulent Concealment Fraudulent Inducement FRB Freddie Mac Free Speech FSA FSOC FTC v Wyndham GAAP General Licenses General Motors General Solicitation Generic Drugs George Canellos Global Dealmaking Golf Good Faith Governor Cuomo Governor McDonnell Grand Juries Grand Theft Green Cards Guaranteed Introducing Brokers Guidance Update Gun Control Act Haiti Halliburton v Erica P. John Fund Hana Financial v Hana Bank Hart-Scott-Rodino Act Harvard Law School Health Care Providers Health Net Healthcare Fraud Hedging Heinz Hillary Clinton Hilton HIPAA HKEx Hospitality Programs HUD Human Rights Human Trafficking ICE Illegal Arms Dealers Illegal Digital Downloads Illegal Trading Immigrant Investment Visas Immigrant Investor Program Imports Indemnification Clauses Independent Boards