Securities Criminal Law

SEC FCPA DOJ Compliance Enforcement Enforcement Actions Insider Trading Fraud FCPA Resource Guide Bribery Criminal Prosecution Anti-Corruption Deferred Prosecution Agreements Securities Fraud White Collar Crimes Settlement Ponzi Scheme Corruption CFTC Investigations Dodd-Frank EU Non-Prosecution Agreements Penalties Whistleblowers Broker-Dealer China Foreign Official Hedge Funds Mary Jo White Money Laundering Statute of Limitations UK Bribery Act Anti-Bribery FINRA Securities Exchange Act Audits Banks Chief Compliance Officers Anti-Money Laundering FinCEN Fines SAC Capital SCOTUS Securities Litigation Canada Conspiracies FBI Internal Investigations JPMorgan Chase Mortgages UK Due Diligence Extraterritoriality Rules Libor Ralph Lauren Sentencing Bernie Madoff Class Action Goldman Sachs Investment Adviser Raj Rajaratnam Disgorgement Ethics FDIC Personal Jurisdiction Reporting Requirements Risk Assessment SFO Bank Secrecy Act Board of Directors CFPB Fannie Mae Jurisdiction Minimum Contacts Morgan Stanley Neither Admit Nor Deny Settlements OCC Swaps Corporate Governance Eli Lilly Evidence Federal Reserve FHFA Financial Services Authority Investors Personal Liability Risk Management RMBS Securities Stocks Wire Fraud Bank of America Bitcoins CFPOA Collateralized Debt Obligations Corporate Counsel Criminal Sanctions Data Protection Email Employer Liability Issues Hong Kong Medical Devices Misappropriation Rajat Gupta RICO Rule 10b-5 Sarbanes-Oxley Self-Reporting Siemens UBS Virtual Currency Voluntary Disclosure Whistleblower Awards Brokers Charitable Donations Civil Forfeiture Civil Monetary Penalty Convictions CPO Cross-Border Crowdfunding Customs Disclosure Requirements eBay False Statements FCA Foreign Banks Foreign Jurisdictions Foreign Nationals Forfeiture FTC Gabelli v SEC Healthcare Hewlett-Packard High Frequency Trading Indictments Investment Funds Janus Capital Group Kickbacks Martoma Misrepresentation Morrison v National Australia Bank Mortgage-Backed Securities OECD OFAC Oil & Gas Pharmaceutical Private Equity Professional Liability RBS SEC v Straub Short Sales Subsidiaries Tax Evasion Training U.S. Commerce Department Volcker Rule Admissions Allianz Attorney-Client Privilege Australia BIS Commodity Pool Conflict Mineral Rules Conflicts of Interest Criminal Conspiracy Derivatives DHS ESMA Exports Facilitation Payments Federal Prosecutors Federal Sentencing Guidelines Financial Statements FIRREA Foreign Defendants Foreign Exchanges Fraud-on-the-Market Freddie Mac GlaxoSmithKline Government Officials Identity Theft Interstate Commerce Japan JOBS Act Liability Magyar Telekom Mail Fraud Market Manipulation NFA OSC PCAOB Price-Fixing Proposed Legislation Red Notices Remediation SEC v Sharef Securities Act of 1933 Shareholders Sherman Act Subpoenas Third-Party Trust Preferred Securities Waivers Wiretapping 10b5-1 Plans Acquisitions Aerospace Akamai Technologies Attorney Generals Attorney's Fees Automotive Industry Bad Actors Banking Crisis Banking Sector Barack Obama Barclays Benchmarks Big Law BizJet Breach of Duty Cease and Desist CEOs Class Certification Cooperation Initiative Corporate Gifts Corporate Officers Credit Ratings Credit Suisse Custody Rule D&O Insurance Declination Direct Access Partners Discovery Rule Dismissals EMIR Exchange-Traded Products Executive Orders Extradition False Claims Act FCPA Guidance Fifth Amendment Financial Instruments Financial Regulatory Reform Foreclosure Foreign Corporations Foreign Subsidiaries Frozen Assets GAO Gun Laws Hiring & Firing HSBC IBM Illegal Imports Illegal Tipping Income Taxes India Instrumentality Interest Rates Internal Controls Investment Firms IPO IRS KPMG Latin America Litigation Strategies Loans Mandatory Victim's Restitution Act Mark Cuban Mergers Mortgage Loan Originators Mortgage Servicing Rules Multinationals Municipal Bonds NCUA NEP New Legislation NIST No-Action Letters NYSE Obstruction of Justice OIG Payday Loans Political Intelligence Portfolio Managers Qualified Mortgage Rule Rating Agencies Recordkeeping Requirements Red Flags Rule Registration Remedies Residential Capital LLC Rolls-Royce Rule 506 Offerings Section 10(b) Selective Waivers Small Business Steve Cohen STOCK Act Stock Promoters Stock Trades Stress Tests Subprime Mortgages Swap Dealers Tax Refunds Telecommunications Trans-Pacific Partnership Trustees Twitter U.S. Treasury Wal-Mart Wall Street Whistleblower Protection Policies Ability-to-Repay Acceptance of Responsibility Accounting Fraud Accredited Investors Admissions of Liability Advertising Advisory Opinions Agents Aiding and Abetting Alien Tort Statute Ally Financial Inc Annual Assessments Annuities Anti-Retaliation Provisions Antidumping Duties Antitrust Investigations Appeals Arbitration Arbitration Agreements Artificial Impairment Asset Management ATF Athletes ATMs Auditors Australian Securities and Investments Commission Auto Manufacturers Automobile Recall Avon Bailout Bank Fraud Bank Holding Company Act Bank of England Bid Rigging Bids Billable Hours Billing Biofuel Biotechnology Bonds Books & Records Brazilian Labor Act Breach of Trust Broker Commissions Bucket Shop Law Burden of Proof Business Development BVI Business Companies C-Suite Executives Caesars Capital Gains Capital Markets Carter's Inc. Casey Anthony Casinos Causation CDD CEA Certifications CFDA Chapter 7 Citibank Citigroup Claim Denial Letters Class Action Arbitration Waivers Clawbacks Cloud Computing CME Code of Conduct Collusion Commercial Bankruptcy Commodities Exchange Act Communists Complex Litigation Confidential Information Conflicts of Laws Consultation Controlled Foreign Corporations Copyright Copyright Alert System Corporate Culture Corporate Fraud Corporate Social Responsibility Countervailing Duties Cramdown Credit Cards Crime and Courts Act Criminal Antitrust Litigation Criminal Defense Critical Infrastructure Sectors CSMAD CSRC CTA Customs and Border Protection Cyber Crimes Cyber Insurance Cyber Safety Act Cyber Threats Cybersecurity Damages Data Breach Data Collection De Minimis Claims Deadlines Deloitte Department of Financial Services Deposit Advances Derivative Suit Derivatives Clearing Organizations Deutsche Bank Diamondback Capital Management Diebold Inc Digital Assets Disciplinary Proceedings Dispute Resolution Distributors Divorce DMO Documentation DOL Double Jeopardy E-Commerce EB-5 Economic Downturn Edward Snowden End-Users Enforcement Attorneys ENI Enron Entrepreneur Access to Capital Act Environmental Crimes EPA Equity Markets Eric Holder Ericsson ERISA Ernst & Young EURIBOR Examiners Executive Compensation Export Controls Extensions Extortion Facebook Failure to Act Fair Lending Family Members FATF FCRA FDA Fee-Shifting Statutes FERC Fiduciary Duty Financial Accounting Financial Action Task Force Financial Conduct Authority Financial Crimes Financial Holding Company Financial Institution Liability Financial Instruments and Exchange Act of Japan Financial Products Financial Restatements Financial Services Act First Amendment Forced Labor Foreign Foreign Affiliates Foreign Investment Foreign National Executives Forfeiture Statutes Form 10-K Form 8-K Form SD Fourth Amendment Fraudulent Concealment Free Speech FSOC FTAIA Fund Managers GAAP Gambling General Solicitation Generic Drugs George Canellos Global Dealmaking Grand Juries Grand Theft Guaranteed Introducing Brokers Guidance Update Guilty Pleas Habeas Corpus Halliburton Halliburton v Erica P. John Fund Hardwood Plywood Harvard Law School Hazard Insurance Healthcare Fraud Hearsay Heinz Hepplewhite Fund HHS HIPAA Hong Kong Stock Exchange HUD Human Trafficking Hurricane Sandy ICE Illegal Digital Downloads Immigrant Investment Visas Imports Indemnification Independent Boards Independent Counsel Industry Examinations Information Sharing Innocent Owner Defense Inspections Inspector General Insurers Interest Income International Trade Agreements Investment Advisers Act of 1940 Investment Advisory Agreements Investment Companies Investment Fraud Investment Management Investment Schemes Investor Protection Iran Iran Sanctions ISPs ISS Issuers ITC iTraxx CDS indices Jamie Dimon Janet Napolitano Journalism Judges Jury Trial Jury Verdicts Kenneth Lay Lanham Act Law Enforcement Legal Costs Legal Perspectives Lehman Brothers Lenders Lenny Breuer Level Global Life Rights Liquidity Coverage Ratio Listing Standards Lobbying London Whale Lying Major Swap Participants Mandatory Clearing Requirements Manufacturers Marital Assets Marital Communications Privilege Market Recovery Mass Shootings Material Misstatements Material Nonpublic Information MDLEA Meal and Entertainment Expenditures Medicare Medtronic Mexico Microsoft Minerals Mining Misleading Statements Mobile Apps Mobile Devices Mobile Payments Money Market Funds Money Transmission Act Mortgage Loan Servicing Standards Motion to Dismiss Motor Vehicles Municipal Securities Issuers Municipal Securities Market Mutual Funds Nasdaq NCR Corp. Negotiations Net Investment Income New Regulations NHL No-Action Relief Novum Securities NSA Occupational Fraud Off-Label Use Officers Offshore Banks Opt-Outs Oracle Otter Products OVDP Parallel Claims Parent Corporation Parker Drilling Company Patent Reform Patents Pay-To-Play Paying Bribes Payroll Taxes Pensions Petition For Rehearing Pfizer Pharmaceutical Manufacturers Plea Negotiations Police Political Appointments Political Corruption Popular Prejudgment Interest Premiums Prepaid Payment Products Prescription Drugs Pricewaterhousecoopers Prison Privacy-By-Design Private Funds Private Placements Private Property Proof of Loss Prospectus Prudential Prudential Regulation Authority Public Disclosure Public Nuisance Public Officials Qualcomm Racketeering Ranieri Partners Ratings Reasonable Promotional Expenses Regulation Regulation FD Reinsurance Responsible Corporate Officer Doctrine Responsible Person Liability Reverse Mortgages Richard Cordray Right to Privacy Risk Mitigation Royal Canadian Mounted Police Rule 10(b) Rule 404(b) Rule 608 Rupert Murdoch Russia S&P Safe Harbors Sales Sanctions Scams Scienter SCRA SDN List Sealed Records Search & Seizure Secretary of Defense Section 10 of the Exchange Act Section 10(b)-5 Section 16 Security-Based Swaps SEFs Self-Dealing Self-Disclosure Requirements Self-Regulatory Organizations SFC Shareholder Litigation Shareholder Rights Shipping Silk Road Six Strikes Social Media Solar Energy Solar Panels Split of Authority Sponsors Spoofing Sports State Regulators State-Owned Enterprises Statute of Repose Stern v Marshall Stop Order Strict Liability Student Loans Successor Liability Successors Sudan Summary Judgment Suntech Supply Chain Suspicious Activity Reports Swap Data Repositories TARP TBML Technology Ted Cruz Tender Offers Terra Telecommunications Terrorism Funding Terrorist Financing Regulations Thomas Curry Tiger Asia Management TILA Tolling Too Big to Fail Trade Market Abuse Trade Policy Trade Secrets Trademarks Transparency Travel Trials Twombly/Iqbal Pleading Standard Ukraine Underwriting United States v Woods Unjust Enrichment Upjohn Warnings USCIS VAT Visas VTVPA Warrantless Searches Wind Power WKSIs WTO Wyeth Zappos