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SEC FCPA DOJ Insider Trading Enforcement Actions Compliance Criminal Prosecution Securities Fraud Enforcement Bribery Fraud US v Newman Personal Benefit Anti-Corruption Illegal Tipping UK Securities Popular White Collar Crimes FCPA Resource Guide Deferred Prosecution Agreements CFTC Material Nonpublic Information SCOTUS Hedge Funds Financial Conduct Authority (FCA) Chief Compliance Officers China Whistleblowers Corruption Dodd-Frank EU FINRA Misappropriation Settlement Securities Exchange Act Broker-Dealer Internal Investigations US v Salman Investment Adviser Non-Prosecution Agreements Banks Indictments Libor Market Manipulation Money Laundering Ponzi Scheme Portfolio Managers Anti-Money Laundering Wire Fraud Dirks v SEC Anti-Bribery Foreign Official Serious Fraud Office Audits Corporate Counsel Criminal Conspiracy Investigations Investment Funds Personal Liability Australia Disgorgement Securities Litigation Due Diligence FinCEN Tippees UK Bribery Act Appeals Mary Jo White Rule 10b-5 Spoofing Yates Memorandum C-Suite Executives Confidential Information Conflicts of Interest Government Investigations Hong Kong Banking Sector Convictions Ethics Price Manipulation Self-Reporting Tippers Bank Secrecy Act Internal Controls Penalties Cooperation Risk Assessment Breach of Duty Civil Monetary Penalty FBI Federal Sentencing Guidelines Fiduciary Duty Financial Institutions Offering Fraud Risk Management Canada High Frequency Trading JPMorgan Chase Misrepresentation OFAC Pharmaceutical Industry Reporting Requirements Class Action Corporate Governance Corporate Officers Cybersecurity Guilty Pleas PCAOB Securities Act of 1933 Sentencing Statute of Limitations Virtual Currency Bitcoin Conspiracies European Securities and Markets Authority (ESMA) Extraterritoriality Rules Fines Sanctions SFO Swaps Voluntary Disclosure Administrative Hearings Bernie Madoff Board of Directors Books & Records Corporate Crimes Corporate Executives Dell False Statements Federal Pilot Programs Forfeiture Goldman Sachs Judge Rakoff Morgan Stanley Oil & Gas Ralph Lauren Strategic Enforcement Plan Brazil Brokers Employer Liability Issues Evidence False Claims Act (FCA) Federal Reserve Foreign Banks Individual Accountability Jurisdiction Kickbacks Nvidia OECD Personal Jurisdiction RMBS Sarbanes-Oxley Shareholders Subsidiaries Attorney-Client Privilege Avon Bank of America Barclays Criminal Convictions Cross-Border Deutsche Bank Foreign Nationals Hackers Mortgage-Backed Securities Mortgages Petition For Rehearing Pump and Dump Raj Rajaratnam Remediation RICO Section 10(b) Securities Violations Siemens Tax Evasion U.S. Treasury Unregistered Securities Whistleblower Awards Arbitration Bank Fraud Citigroup Foreign Subsidiaries Investors Mail Fraud Municipal Bonds Neither Admit Nor Deny Settlements OCC Russia Stocks Suspicious Activity Reports (SARs) Wal-Mart BIS CME Collateralized Debt Obligations Commodities Exchange Act Corporate Misconduct Dark Pool Data Breach Disclosure Requirements Disruptive Trading Practices EB-5 Eli Lilly Export Controls FDIC Fifth Amendment Financial Markets Financial Regulatory Reform Fund Managers GlaxoSmithKline IRS Japan JOBS Act Medical Devices Minimum Contacts Obstruction of Justice Professional Liability Red Notices SAC Capital Security-Based Swaps UBS Unregistered Brokers Whistleblower Protection Policies Acquisitions 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 Declination Dismissals Extradition FATCA Financial Services Authority FIRREA Forex FSMA 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 CFPB CFPOA Charitable Donations Clawbacks Conflict Mineral Rules Criminal Investigations Custody Rule Customs Cyber Attacks Department of Financial Services Derivatives Email En Banc Review Federal Contractors Federal Prosecutors Foreign Exchanges Foreign Jurisdictions Futures Hewlett-Packard HSBC Investment Fraud Investment Management Iran Sanctions Jury Verdicts Martoma Material Misstatements Mergers Mexico Multinationals Ontario Securities Commission (OSC) Patents Permanent Injunctions Petition for Writ of Certiorari Prudential Regulation Authority Public Officials 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 Broken Windows Capital Gains Cease and Desist Orders Civil Forfeiture Commercial Bankruptcy Commodity Pool Corporate Criminal Fines Corporate Culture Corporate Gifts Criminal Liability Currency Transaction Reports (CTR) Customer Due Diligence (CDD) Customer Identification Program (CIP) Data Security Derivative Suit DHS Directors 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 FTC Gabelli v SEC GAO Germany Goodyear Healthcare Hong Kong Securities and Futures Commission (HKSFC) Income Taxes Indemnification India Instrumentality IPO Janus Capital Group 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 Non-Public Information OCIE Patriot Act Penny Stocks Prejudgment Interest Proposed Amendments Proposed Regulation Public Comment Publicly-Traded Companies Pyramid Schemes Qualcomm Quid Pro Quo Rating Agencies Registered Investment Advisors Registration Registration Statement Regulatory Standards Retailers Rolls-Royce Scienter SEC v Straub Shareholder Litigation State-Owned Enterprises Stock Trades Subpoenas Swap Dealers Telecommunications Third-Party Service Provider Trade Market Abuse Trade Secrets Trademarks Transparency Trust Preferred Securities Trustees Twitter U.S. Commerce Department 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 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 BizJet BlackRock Block Trades Bonds BSA/AML Burden of Proof Business Continuity Plans Bylaws 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 Credit Suisse Criminal Defense Criminal Records Cross-Border Transactions CTA Currency Exchange Cyber Threats Damages 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 Eric Holder ERISA EU Market Abuse Regulation (EU MAR) European Banking Authority European Commission Excessive Fees Exchange-Traded Products Expert Testimony Extortion 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 Jury Instructions Jury Trial Justice Scalia KPMG Lanham Act Latin America Legal Entities Lehman Brothers Liquidity Liquidity Coverage Ratio Litigation Fees & Costs Loans Lying Manufacturers Margin Calls Mark Cuban Market Participants McDonnell v US Medicaid Medicare Member State Merrill Lynch Money Services Business Mortgage Lenders Motion to Dismiss Mutual Funds Nasdaq New Legislation New Regulations No-Action Letters Nortek Novartis NPRM NYSE Offshore Drilling Olympics Omnicare Omnicare v Laborers District Council Oppenheimer & Co. Patent Infringement Physicians Political Intelligence Press Releases Price-Fixing Private Funds Private Placements Professional Misconduct Profits Public Disclosure Qui Tam Recidivism Regulation SHO 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 Securities Act Selective Waivers Self-Dealing Self-Disclosure Requirements Settlement Agreements Silk Road South Africa South Korea Split of Authority Sports Steve Cohen STOCK Act Stock Promoters Stop Order Subprime Mortgages Successor Liability Summary Judgment Supervision Supply Chain Swap Data Repositories Tax Deductions Tax Refunds Theft Too Big to Fail Trans-Pacific Partnership Travel Act UK Brexit 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 Advancement Advertising Agency Deference Agents 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 Appointments Clause Apportionment Article III Artificial Impairment Asia Pacific Asset Valuations 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 Biofuel 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 Campbell Ewald v Gomez Capital Formation Capital Losses Capital One Capital Requirements 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 Crimes 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 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 Enron Entergy Environmental Crimes EPA Equal Protection Equity Markets Ericsson EURIBOR Examiners Executive Compensation Executive Orders Exemptions Expedia Extensions Exxon Mobil Facebook Failure To Disclose 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 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 Independent Counsel Inducement Information Reports Information Security Infrastructure Injunctive Relief Insider Information Insolvency Intellectual Property Litigation Intent to Cancel Inter Partes Review (IPR) Proceeding Interest Rate Adjustments International Arbitration International Harmonization International Tax Issues Internet of Things Internships Investment Advisory Agreements Investment Schemes Iran